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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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Moral Theory and Legal Reasoning

Scott Brewer - 1998 - 411 páginas
...numerous known and unknown particulars under headings such as "vehicles," "punishment," "dogs," and "every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any [registered] equity security fother than an exempted securityl." After identifying...
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Managed Care and Public Health

Paul K. Halverson, Arnold D. Kaluzny, Curtis P. McLaughlin, Glen P. Mays - 1998 - 461 páginas
...director, officer, partner or employee responsible for management or administration of an HMO and HIO; any person who is directly or indirectly the beneficial owner of more than 5% of the equity of the HMO; any person who is the beneficial owner of more than 5% of the HIO; or,...
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Lessons Learned from Enron's Collapse: Auditing the Accounting Industry ...

United States. Congress. House. Committee on Energy and Commerce - 2002 - 207 páginas
...assumptions underlying such slalemem MA . tD. UIKKCTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS (a) Every person who is directly or indirectly the beneficial owner of more than 1 0 per centum of any class of any equity security (other than an exempted security) which is registered...
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Public Companies

Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002
...obligations and profit disgorgement liability on officers and directors of a company, and on any stockholder who is, directly or indirectly, the beneficial owner of more than 10% of any class of equity security1 registered under the Exchange Act.2 These persons are deemed "insiders"...
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Compilation of securities laws within the jurisdiction of the Committee on ...

United States - 2003 - 930 páginas
...DISCLOSURES REQUIRED. — (1) DIRECTORS, OFFICERS, AND PRINCIPAL STOCKHOLDERS REQUIRED TO FILE. — Every person who is directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security) which is Sec. 16 SECURITIES...
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Asset Management and Investor Protection: An International Analysis

Julian Franks, Colin Mayer, Luis Correia da Silva - 2003 - 304 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. Investment advice may be offered to investment companies internally and externally. Internal...
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A Practical Guide to Section 16: Reporting and Compliance

Stanton P. Eigenbrodt - 2003 - 688 páginas
...reporting and short-swing profit recovery provisions of section 16 of the Exchange Act apply to every person who is directly or indirectly the beneficial owner of more than ten percent of any class of equity securities that is registered pursuant to section 12 of the Exchange...
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Compilation of the Social Security Laws: Including the Social Security Act ...

United States - 2003
...or employee responsible for management or administration of a health maintenance organization, any person who is directly or indirectly the beneficial owner of more than 5 per centum of the equity of the organization, any person who is the beneficial owner of a mortgage,...
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International Funds: A Practical Guide

Catherine Turner - 2004 - 240 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. 2. 'Non-diversified company' means any management company other than a diversified company....
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Pass the 6: A Training Guide for the NASD Series 6 Exam

Robert Walker, Robert Mark Walker - 2006 - 349 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. So, how does the "Act of 1940" then define a "non-diversified company"? "Non-diversified company"...
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