... General Rules and Regulations Under the Securities Exchange Act of 1934: As Amended ...U.S. Government Printing Office, 1945 |
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Términos y frases comunes
account of customers admitted to dealing amendment or supplement annual report pursuant application for registration applications filed appropriate form arbitrage bankruptcy become effective beneficial owner broker or dealer certificates certificates of deposit class of securities Commission copies corporation deemed device or contrivance directly or indirectly documents equity security exchange shall file exempted security filed pursuant financial statements fiscal furnished hypothecation indebtedness Interstate Commerce Act Investment Company Act issued issuer Item listed and registered listed security ment Motor Carrier Act national securities exchange nominee notice operation of section period permanent registration person promptly proxy statement purchase or sale pursuant to rule pursuant to section registered pursuant registration of securities registration statement respect RULES UNDER SECTION section 12 Securities Act securities carried Securities Exchange Act security exempted security holders solicitation stabilizing suant subsidiary thereof thereto tion unissued security unissued warrant unlisted trading privileges voting trust
Pasajes populares
Página 1248 - associate," used to indicate a relationship with any persons, means (1) any corporation or organization (other than the issuer or a majority owned subsidiary of the issuer) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities,
Página 1189 - of interstate commerce or of the mails or of any facility of any national securities exchange to use or employ any such device or contrivance in connection with the purchase or sale of any such security is hereby prohibited.
Página 1177 - (c) (2) to the extent necessary to render lawful any direct or indirect extension or maintenance of credit thereon or any direct or indirect arrangement therefor which would not have been unlawful if such security had been a security (other than an exempted security) registered on a national securities exchange.
Página 1238 - percent in the amount of any class of securities of the registrant outstanding, as last previously reported, unless resulting from an ordinary sinking fund operation : Provided, That (i) no report need be made with respect to notes, drafts, bills of exchange, or banker's acceptances having a maturity at the time of issuance of not exceeding 1 year,
Página 1177 - to the extent necessary to render lawful any direct or indirect extension or maintenance of credit thereon or any direct or indirect arrangement therefor which would not have been unlawful if such security had been a security (other than an exempted security) registered on a national securities exchange.
Página 1264 - Rule X-15C1-2. Fraud and Misrepresentation. (a) The term "manipulative, deceptive, or other fraudulent device or contrivance," as used in section 15 (c) (1) of the Act, is hereby defined to include any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. (£>) The
Página 1248 - a source from which they may obtain copies of a proxy statement, form of proxy and any other soliciting material and does no more than (1) name the issuer, (2) state the reason for the advertisement, (3) identify a proposal to be acted upon by security holders.
Página 1263 - to revoke or suspend the registration of the broker or dealer filing such notice, and during the pendency of such a proceeding, the notice to withdraw shall not become effective except at such time and upon such terms and conditions as the Commission deems necessary or appropriate in the public
Página 1201 - the Commission, having due regard for the public interest and the protection of investors, may at any time extend the period of exemption of any security by this rule or may sooner terminate the exemption upon notice to the exchange and to the issuer of the
Página 1248 - solicitation of a proxy" includes (1) any request for a proxy, whether or not such request is accompanied by or included in a form of proxy, (2) any request to revoke a proxy or not to execute a proxy (3) any request to execute a proxy and (4) the furnishing