General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página vi
... warrants from section 12 ( a ) ......... . 12a - 5 . Temporary exemption of substituted or additional securities___ REGULATION 12B . APPLICATIONS AND REPORTS Article 1. General Page 17 17 17 19 20 21 2225 12b - 1 . Scope of regulation ...
... warrants from section 12 ( a ) ......... . 12a - 5 . Temporary exemption of substituted or additional securities___ REGULATION 12B . APPLICATIONS AND REPORTS Article 1. General Page 17 17 17 19 20 21 2225 12b - 1 . Scope of regulation ...
Página vii
... warrants , or rights ... 12. Authorization or issuance of securities otherwise than for exchange . 13. Modification or exchange of securities .__ . 16. Acquisition or disposition of property . 17. Restatement of accounts__ 18. Action ...
... warrants , or rights ... 12. Authorization or issuance of securities otherwise than for exchange . 13. Modification or exchange of securities .__ . 16. Acquisition or disposition of property . 17. Restatement of accounts__ 18. Action ...
Página 5
... warrants sold and the aggregate dollar amount thereof . Rule 7c2-1 . Exemption from Section 7 ( c ) ( 2 ) of Certain Securities Exempted From Reg- istration or Admitted to Trading on Ex- changes Exempted From Registration . ( a ) So ...
... warrants sold and the aggregate dollar amount thereof . Rule 7c2-1 . Exemption from Section 7 ( c ) ( 2 ) of Certain Securities Exempted From Reg- istration or Admitted to Trading on Ex- changes Exempted From Registration . ( a ) So ...
Página 12
... warrants or rights ) shall not limit the stabilizing price . ( i ) Entering Stabilizing Bid on Exchange Prior to Opening . No person shall place a stabi- lizing bid on a securities exchange prior to the time the opening quotations for ...
... warrants or rights ) shall not limit the stabilizing price . ( i ) Entering Stabilizing Bid on Exchange Prior to Opening . No person shall place a stabi- lizing bid on a securities exchange prior to the time the opening quotations for ...
Página 13
... warrants or rights ) shall not constitute the initial public offering price for purposes of this subparagraph ( 3 ) ... warrant has been stabilized , shall give or send to such person , at or before the completion of each transaction ...
... warrants or rights ) shall not constitute the initial public offering price for purposes of this subparagraph ( 3 ) ... warrant has been stabilized , shall give or send to such person , at or before the completion of each transaction ...
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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