General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página v
... statement or exemption statements of exchanges --- 6a - 3 . Supplemental material .. EXEMPTION OF Certain SECURITIES FROM THE OPERATion of Section 7 ( c ) ( 2 ) 7c2-1 . Exemption from section 7 ( c ) ( 2 ) of certain securities exempted ...
... statement or exemption statements of exchanges --- 6a - 3 . Supplemental material .. EXEMPTION OF Certain SECURITIES FROM THE OPERATion of Section 7 ( c ) ( 2 ) 7c2-1 . Exemption from section 7 ( c ) ( 2 ) of certain securities exempted ...
Página vi
... statement under Securities Act of 1933 . 12b - 36 . Use of financial statements filed under other Acts . 27 28 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or ...
... statement under Securities Act of 1933 . 12b - 36 . Use of financial statements filed under other Acts . 27 28 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or ...
Página vii
... statement .. 14a - 6 . Material required to be filed ... 14a - 7 . Mailing communications for security holders ... 148-8 . Proposals of security holders ......... 14a - 9 . False or misleading statements .. 14a - 10 . Prohibition of ...
... statement .. 14a - 6 . Material required to be filed ... 14a - 7 . Mailing communications for security holders ... 148-8 . Proposals of security holders ......... 14a - 9 . False or misleading statements .. 14a - 10 . Prohibition of ...
Página viii
... Statements Filed by or on Behalf of a Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE ... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b ...
... Statements Filed by or on Behalf of a Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE ... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b ...
Página ix
... statements of securities associations .. 15a12-1 . Proceedings under section 15A ( 1 ) ( 2 ) of the Act ...-- REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS 16a - 1 . Filing of statements . 16a - 2 . Ownership of more than ...
... statements of securities associations .. 15a12-1 . Proceedings under section 15A ( 1 ) ( 2 ) of the Act ...-- REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS 16a - 1 . Filing of statements . 16a - 2 . Ownership of more than ...
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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