 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 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... | |
 | United States. Securities and Exchange Commission - 1936 - 1320 páginas
...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... | |
 | United States. Securities and Exchange Commission - 1936 - 64 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... | |
 | United States - 1938 - 48 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... | |
 | United States. Securities and Exchange Commission - 1955 - 144 páginas
...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... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...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... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 páginas
...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... | |
 | United States. Securities and Exchange Commission - 1970 - 166 páginas
...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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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... 
