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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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Securities Exchange Act Amendments: Hearings Before a Subcommittee of the ...

United States. Congress. Senate. Committee on Banking and Currency - 1950 - 222 páginas
...covered equity security in contravention of the prescribed rules of the Commission. In addition, every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any covered equity security, or who is a director or an officer of the issuer...
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Securities Exchange Act Amendments, Hearings Before a Subcommttee of ...,81 ...

United States. Congress. Senate. Committee on Banking and Currency - 1950 - 222 páginas
...covered equity security in contravention of the prescribed rules of the Commission. In addition, every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any covered equity security, or who is a director or an officer of the issuer...
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Federal Income, Estate and Gift Tax Laws, Correlated: Being a Correlation of ...

United States, Walter Elbert Barton - 1950 - 893 páginas
...not greater in value than 5 per centum of the value of the total assets of the taxpayer and to not more than 10 per centum of the outstanding voting securities of such issuer, and (B) not more than 25 per centum of the value of its total assets is invested in the securities...
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Study of Securities and Exchange Commission: Hearings Before a ..., Partes1-2

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1952 - 1224 páginas
...every officer or director of a company with an equity security registered on an exchange, and every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any equity securities so registered must file certain reports, is that correct...
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Bank Holding Legislation: Hearings Before the Committee on ..., Partes1-3

United States. Congress. Senate. Committee on Banking and Currency - 1953 - 830 páginas
...certificate from the custodian, as the Commission may prescribe by rules and regulations. (f) Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of outstanding securities (other than short-term paper) of which a registered closed-end...
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Securities Exchange Act of 1934 as Amended to August 10, 1954

United States - 1955 - 45 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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Hearings, Reports and Prints of the Senate Committee on Banking and ..., Parte3

United States. Congress. Senate. Committee on Banking and Currency - 1956
...to the same requirement. I am informed that the Securities Exchange Act of 1934 provides that every person who is directly or indirectly the beneficial owner of more than 10 percent of any equity security of such a company must report the fact to the Commission within 10 days...
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SEC Legislation, Hearings Before a Subcommittee ...,86-1 on ..., Volúmenes22-23

United States. Congress. Senate. Banking and Currency Committee - 1959 - 640 páginas
...certificate from the cuatodian, as the Commission may prescribe by rules and regulations. (f) Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of outstanding securities (other than short-term paper) of which a registered closedend company...
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SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking ...

United States. Congress. Senate. Committee on Banking and Currency, United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1959 - 640 páginas
...certificate from the custodian, as the Commission may prescribe by rules and regulations. (f) Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of outstanding securities (other than short-term paper) of which a registered closedend company...
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Securities Acts Amendments, 1959: Hearings Before a Subcommittee of the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1960 - 426 páginas
...greater in value than 5 per centum of the value of the total assets of such management company and to not more than 10 per centum of the outstanding voting securities of such issuer." SEC. 11. Paragraph (1) of subsection (a) of section 6 of the Investment Company Act of 1940,...
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