Report on Trading in Unlisted Securities Upon Exchanges Pursuant to Section 12 (f) of the Securities Exchange Act of 1934: Washington, D.C., January 3, 1936U.S. Government Printing Office, 1936 - 50 páginas |
Dentro del libro
Resultados 1-5 de 16
Página 11
... distribution of the security , or if there is no substantial local trading activity therein , this representation would ordinarily be misleading . The continuance of unlisted trading on exchanges should therefore be permitted only in ...
... distribution of the security , or if there is no substantial local trading activity therein , this representation would ordinarily be misleading . The continuance of unlisted trading on exchanges should therefore be permitted only in ...
Página 15
... distribution and trading activity in the vicinity of another exchange , there appears to be no substantial objection to permitting the latter exchange subject to the 16 The Federal Reserve Board is authorized to issue such regulations ...
... distribution and trading activity in the vicinity of another exchange , there appears to be no substantial objection to permitting the latter exchange subject to the 16 The Federal Reserve Board is authorized to issue such regulations ...
Página 16
... distribution and activity are satisfied . Certain additional conditions designed to supplement information available from the previous registration by data neces- sary in the interest of completeness might also be laid down . The ...
... distribution and activity are satisfied . Certain additional conditions designed to supplement information available from the previous registration by data neces- sary in the interest of completeness might also be laid down . The ...
Página 18
... distribution , amounted to several thousand . It may likewise be assumed that many of these issuers had securities of more than one class outstanding . All of the outstanding classes of securi- ties of these issuers were presumably ...
... distribution , amounted to several thousand . It may likewise be assumed that many of these issuers had securities of more than one class outstanding . All of the outstanding classes of securi- ties of these issuers were presumably ...
Página 19
... distribution ( wide public distribution is of itself strong evidence of a broad over - the - counter market ) and which thus owes a continuing duty of reporting accurately and adequately to its security holders might be required to file ...
... distribution ( wide public distribution is of itself strong evidence of a broad over - the - counter market ) and which thus owes a continuing duty of reporting accurately and adequately to its security holders might be required to file ...
Otras ediciones - Ver todas
Términos y frases comunes
$1 par value admission admitted to trading admitted to unlisted American depositary receipts appendix applicant member application blank Boston Stock Exchange brokers and dealers Chicago Curb conformity with requirement continuance of unlisted corporation counter DELISTINGS DETROIT STOCK EXCHANGE disclosure excepting bonds exchange market exempt furnished investors issuer thereof issues not reported issues Number issues of bonds listed and unlisted Name of exchange national securities exchanges Number of issues number of shares Number of units obtained over-the-counter markets pounds sterling prior to March pursuant to section quotations registered national securities regular member regulations San Francisco Curb section 12 securities admitted Securities Exchange Act securities listed securities on registered securities traded security holders security registered security to unlisted sinking fund gold smaller exchanges stockholders submitted in conformity subsection f supra tion trading privileges prior units outstanding unlisted trading privileges value of bonds York Curb Exchange York Stock Exchange
Pasajes populares
Página 13 - It shall be unlawful for any broker, dealer, or exchange, directly or indirectly, to make use of the mails or any means or instrumentality of interstate commerce for the purpose of using any facility of an exchange within or subject to the jurisdiction of the United States...
Página 20 - ... as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors.
Página 24 - Every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security...
Página 38 - Service, or be obtained from an authoritative source. The applying member shall attach a certificate stating the source from which such data has been obtained. 6. History and description of business from inception to date, with certificate of applicant member specifying the source from which the information has been obtained. 7. Tabulated record of dividends on all classes of stock from initial payment to date, showing payment date, rate and amount of each dividend, with a certificate signed by the...
Página 43 - ... immediately preceding the date of application. There must be furnished the history and description of the business from its inception to date, a tabulated record of dividends on all classes of stock from initial payment to date, a tabulation showing fully the funded indebtedness and an official copy of the latest annual report of the corporation in the form as issued to its stockholders. All the pertinent factors are then considered by the listing department and are passed upon by the committee....
Página 7 - ... to enforce, so far as is within its powers, compliance by its members, with the provisions of this Act, and any amendment thereto, and any rule or regulation made or to be made thereunder...
Página 21 - listed" means admitted to full trading privileges upon application by the bank and includes securities for which authority to add to the list on official notice of issuance has been granted. (m) The term "majority-owned subsidiary...
Página 43 - ... agent or registrar of such stock of the number of stockholders among whom the shares of each class of stock applied for are distributed. 14. Name of Transfer Agent. 15. Name of Registrar (must be a corporation). 16. If this issue is traded in on other Exchanges, furnish: (a) Names of Exchanges. (b) Approximate daily volume of dealings. 17. Furnish an agreement to submit promptly to the Secretary's Office copies of all reports and notices distributed by the company to its stockholders. 18. A signed...