General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 1-5 de 28
Página v
... Solicitation of purchases on an exchange to facilitate a distribution of securities . - 10b - 3 . Employment of manipulative and deceptive devices - - - 10b - 5 . Employment of manipulative and deceptive devices ... 10b - 6 ...
... Solicitation of purchases on an exchange to facilitate a distribution of securities . - 10b - 3 . Employment of manipulative and deceptive devices - - - 10b - 5 . Employment of manipulative and deceptive devices ... 10b - 6 ...
Página vii
... SOLICITATION OF PROXIES 37 14a - 2 . Solicitations to which rules apply ---- 14a - 3 . Information to be furnished security holders . 38 38 14a - 4 . Requirements as to proxy- 14a - 5 . Presentation of information in proxy statement ...
... SOLICITATION OF PROXIES 37 14a - 2 . Solicitations to which rules apply ---- 14a - 3 . Information to be furnished security holders . 38 38 14a - 4 . Requirements as to proxy- 14a - 5 . Presentation of information in proxy statement ...
Página viii
... SOLICITATION PURSUANT TO RULE 14a - 11 ( c ) Item 1. Issuer ... . 2. Identity and background .... 3. Interests in securities of the issuer__ 4. Further matters .. 5. Signature . Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 ( 8 ) ...
... SOLICITATION PURSUANT TO RULE 14a - 11 ( c ) Item 1. Issuer ... . 2. Identity and background .... 3. Interests in securities of the issuer__ 4. Further matters .. 5. Signature . Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 15 ( 8 ) ...
Página 8
... Solicitation of Purchases on an Exchange to Facilitate a Distribution of Securities . ( a ) No person ... soliciting another to purchase any security of the same issuer on a national securities exchange , or for purchasing any security ...
... Solicitation of Purchases on an Exchange to Facilitate a Distribution of Securities . ( a ) No person ... soliciting another to purchase any security of the same issuer on a national securities exchange , or for purchasing any security ...
Página 9
... soliciting another to purchase any security of the same issuer on any national securities ex- change , or for ... solicitation or execu- tion of brokerage orders on a national securities exchange , if such salary represents only ...
... soliciting another to purchase any security of the same issuer on any national securities ex- change , or for ... solicitation or execu- tion of brokerage orders on a national securities exchange , if such salary represents only ...
Otras ediciones - Ver todas
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