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" Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer... "
Insurance Proposals for the District of Columbia: Hearings Before the ... - Página 74
por United States. Congress. House. District of Columbia Committee - 1973 - 100 páginas
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United States Reports: Cases Adjudged in the Supreme Court at ..., Volumen423

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1977
...is regulated by § 16 (b) are defined in § 16 (a) of the Act, 15 U. 8. C. § 78p (a), as "[e]very person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered pursuant to...
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Stock Exchange Regulation: Hearing Before the Committee...seventy-third ...

United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 941 páginas
...and for the registration of the securities for which they make or create a market. SBC. 15. (a) Every person who Is directly or indirectly the beneficial owner of more than 5 per centum of any class of any equity security (other than an exempted security) which is registered...
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Stock Exchange Regulation: Hearing[s] Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 941 páginas
...which they make or create a market. DIBECTOBH, OFFICEB8, AND PRINCIPAL STOCKHOLDERS SEC. 15. (a) Every person who is directly or indirectly the beneficial owner of more than 5 per centum of any class of any equity security (other than an exempted security) which is registered...
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Report on the Study and Investigation of the Work, Activities ..., Volúmenes6-8

United States. Securities and Exchange Commission - 1936
...Sec. 16 (a) of the Securities and Exchange Act of 1934, which provides that: "Every person who 1« directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which Is held common stock ; and...
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Report on Trading in Unlisted Securities Upon Exchanges Pursuant to Section ...

United States. Securities and Exchange Commission - 1936 - 50 páginas
...be exempt from the provisions of section 16 insofar as those provisions would otherwise apply to any person who is directly or indirectly the beneficial owner of more than 10 percent of such unlisted security and is neither a director nor officer of the issuer thereof not directly...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 44 páginas
...provision of this section shall prevail. DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS SEC. 16. (a) Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national...
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... General Rules and Regulations Under the Securities Exchange Act of 1934 ...

United States. Securities and Exchange Commission - 1955
...the operation of section 16 insofar as the provisions of that section would otherwise apply to any person who is directly or indirectly the beneficial owner of more than 10 percent of such unlisted security: Provided, That such person is neither a director or officer of the...
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Decisions and Reports, Volumen38

United States. Securities and Exchange Commission - 1960
...Information Is In the public Interest." Section 16(a) of the Act as applicable here requires that every person who Is directly or Indirectly the beneficial owner of more than 10% of any class of any equity security (other than an exempted security) which Is registered on a national...
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Decisions and Reports, Volumen8

United States. Securities and Exchange Commission - 1941
...the operation of section 16 Insofar as the provlsionn of that section would otherwise apply to any person who Is directly or Indirectly the beneficial owner of more than 10 percent of such unlisted security : Provided, That such person Is neither n director or officer of...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - 1970
...security issued by a closed-end investment company registered under the Investment Company Act of 1940, is directly or indirectly the beneficial owner of more than 10 per centum of such class shall, within 10 days after such acquisition, send to the issuer of the security at its...
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