General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página iii
... promptly to the Securities and Exchange Commission , Washington 25 , D. C. Name____ ( Please type or print ) Address .. City .. State .. This request relates to changes after July 15 , 1963 III 5 309 WM MG1 578 09/08 02-013-06 Ohio dno ...
... promptly to the Securities and Exchange Commission , Washington 25 , D. C. Name____ ( Please type or print ) Address .. City .. State .. This request relates to changes after July 15 , 1963 III 5 309 WM MG1 578 09/08 02-013-06 Ohio dno ...
Página 1
... promptly advise the Commission of the service of such subpoena , the nature of the information or document sought , and any circumstances which may bear upon the desirability of making available such information or documents . Rule 1.
... promptly advise the Commission of the service of such subpoena , the nature of the information or document sought , and any circumstances which may bear upon the desirability of making available such information or documents . Rule 1.
Página 3
... promptly for- ward a copy thereof by registered mail to the ap- propriate defendants at their last address of rec- ord filed with the Commission . The Commission shall be furnished a sufficient number of copies for such purpose , and ...
... promptly for- ward a copy thereof by registered mail to the ap- propriate defendants at their last address of rec- ord filed with the Commission . The Commission shall be furnished a sufficient number of copies for such purpose , and ...
Página 4
... Promptly after the discovery that any information in the statement , any exhibit , or any amendment was inaccurate when filed , the ex- change shall file with the Commission an amend- ment correcting such inaccuracy . ( d ) Whenever the ...
... Promptly after the discovery that any information in the statement , any exhibit , or any amendment was inaccurate when filed , the ex- change shall file with the Commission an amend- ment correcting such inaccuracy . ( d ) Whenever the ...
Página 6
... promptly as practicable ; ( iii ) securities sold , but not appropriated , by such member , broker or dealer to a customer who has made any payment therefor , to the extent that such member , broker or dealer owns and has re- ceived ...
... promptly as practicable ; ( iii ) securities sold , but not appropriated , by such member , broker or dealer to a customer who has made any payment therefor , to the extent that such member , broker or dealer owns and has re- ceived ...
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Términos y frases comunes
amendment amount annual report application for registration application or report appropriate becomes effective behalf beneficial owner broker or dealer business day cation certificates Commission curities deemed device or contrivance directly or indirectly director or officer distribution document effective date employees equity security exempt security filed pursuant financial statements fiscal form of proxy furnish hypothecation indebtedness Investment Company Act issuer lien listed and registered loan market value ment national securities ex national securities exchange operation of section options otherwise paragraph participant period person prior promptly proxy statement pursuant to Rule pursuant to section record registration statement reports pursuant restricted stock section 16 Securities Act securities association securities carried security holders specified stock option suant subordination agreement subparagraph subsidiary syndicate or group term thereto tion transaction trust unless unlisted trading privileges vote voting trust warrants or rights