General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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... specified or the context otherwise requires , the term " prospectus " means a prospectus meeting the requirements of Section 10 ( a ) of the Securities Act of 1933 as amended . Rule 0-2 . Business Hours of the Commission . The principal ...
... specified or the context otherwise requires , the term " prospectus " means a prospectus meeting the requirements of Section 10 ( a ) of the Securities Act of 1933 as amended . Rule 0-2 . Business Hours of the Commission . The principal ...
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... specified rate ; and ( 2 ) The business of such issuer is managed by ( d ) For purposes of this rule the following definitions shall apply : ( 1 ) The term " investment adviser " shall have the meaning set out in Section 202 ( a ) ( 11 ) ...
... specified rate ; and ( 2 ) The business of such issuer is managed by ( d ) For purposes of this rule the following definitions shall apply : ( 1 ) The term " investment adviser " shall have the meaning set out in Section 202 ( a ) ( 11 ) ...
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... specified in clause ( 1 ) of Rule 10a- 1 ( c ) existed or to obtain the information specified in clause ( 2 ) thereof , and ( iii ) either that the condition of the market at the time the mistake was discovered was such that undue ...
... specified in clause ( 1 ) of Rule 10a- 1 ( c ) existed or to obtain the information specified in clause ( 2 ) thereof , and ( iii ) either that the condition of the market at the time the mistake was discovered was such that undue ...
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... specified in such Act . ( e ) The provisions of this rule shall not apply to any distribution of securities by an issuer to its employees , or to employees of its subsidiaries , or to a trustee or other person acquiring such se ...
... specified in such Act . ( e ) The provisions of this rule shall not apply to any distribution of securities by an issuer to its employees , or to employees of its subsidiaries , or to a trustee or other person acquiring such se ...
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... specified terms and conditions , as not constituting a ma- nipulative or deceptive device or contrivance com- prehended within the purpose of this rule . Rule 10b - 8 . Distributions Through Rights . ( a ) Scope of Rule . It shall ...
... specified terms and conditions , as not constituting a ma- nipulative or deceptive device or contrivance com- prehended within the purpose of this rule . Rule 10b - 8 . Distributions Through Rights . ( a ) Scope of Rule . It shall ...
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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