Security and Exchange Commission Proxy Rules ... Hearings ... H.R. 1493, H.R. 1821, and H.R. 20191943 - 297 lappuses |
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100-word statement action adopted amendment amount annual meeting annual report answer attorneys authority ballot BANE BOREN BROWN candidates CHAIRMAN class of securities Commissioner PURCELL committee compensation Congress corporation correct course CROSSER disclosure effect election employees Exchange Commission fact February 15 Federal Trade Commission filed financial statements form of proxy FREEMAN furnished Gar Wood give going HALL HARRIS individual interest investment issuer Item judgment letter libelous mailed matter mean ment mind national securities exchange nominee opinion organization person solicited present proposal provision proxy material proxy rules proxy soliciting proxy statement pursuant question reason REECE reference regulations remuneration request respect revision salaries section 14 Securities and Exchange Securities Exchange Act security financing security holders sent solicitation of proxies soliciting material stockholders subsidiaries thing tion vote WINTER WOLVERTON York Stock Exchange
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12. lappuse - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce...
9. lappuse - AN ACT To provide for the regulation of securities exchanges and of over-thecounter markets operating in interstate and foreign commerce and through the mails, to prevent inequitable and unfair practices on such exchanges and markets, and for other purposes.
48. lappuse - ... circumstances reasonably calculated to result in the procurement, withholding, or revocation of a proxy. The terms do not apply, however, to the furnishing of a form of proxy to a security holder upon the unsolicited request of such security holder, the performance by the bank of acts required by § 11.5(g), or the performance by any person of ministerial acts on behalf of a person soliciting a proxy. (bb) A "subsidiary...
55. lappuse - Is to constitute approval or disapproval of any of the matters referred to in such reports or minutes. (b) Identify each of such matters which it Is Intended will be approved or disapproved, and furnish the Information required by the appropriate item or Items of this schedule with respect to each such matter.
25. lappuse - Commission not later than the date such material is first sent or given to any security holders. Three copies of such material shall at the same time be filed with, or mailed for filing to, each national securities exchange upon which any security of the issuer is listed and registered.
36. lappuse - The order of items and sub-items in the schedule need not be followed. Where practicable and appropriate, the information shall be presented in tabular form. All amounts shall be stated in figures. Information required by more than one applicable item need not be repeated. No statement need be made in response to any item or sub-item which is inapplicable.
36. lappuse - Means shall be provided in the form of proxy whereby the person solicited is afforded an opportunity to specify by ballot a choice between approval or disapproval of each matter or group of related matters referred to therein as intended to be acted upon, other than elections to office.
26. lappuse - ... other communication as will enable the banker, broker, or other person to furnish a copy thereof to each beneficial owner solicited or to be solicited through him...
27. lappuse - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) 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, (2) any trust or other estate in which...
48. lappuse - Any solicitation through the medium of a newspaper advertisement which informs security holders of 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, and (3) identify the proposal or proposals to be acted upon by security holders.