General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1955 |
No grāmatas satura
1.–5. rezultāts no 23.
6. lappuse
... fiscal agent or , in the case of the securities of a foreign corporation , upon application by a banker engaged in distributing them ; and includes securities for which authority to add to the list on official notice of issuance has ...
... fiscal agent or , in the case of the securities of a foreign corporation , upon application by a banker engaged in distributing them ; and includes securities for which authority to add to the list on official notice of issuance has ...
7. lappuse
... fiscal of the exchange , and of each affiliate and subsidiary listed in answer to item 8 of the statement . In the event that exhibit F is inapplicable to the exchange for the reason that it has no affiliate or subsidiary , the ...
... fiscal of the exchange , and of each affiliate and subsidiary listed in answer to item 8 of the statement . In the event that exhibit F is inapplicable to the exchange for the reason that it has no affiliate or subsidiary , the ...
31. lappuse
... Fiscal Year . The term " fiscal year " means the annual accounting period or , if no closing date has been adopted , the calendar year ending on December 31 . Majority - owned subsidiary . The term " majority - owned subsidi- ary ...
... Fiscal Year . The term " fiscal year " means the annual accounting period or , if no closing date has been adopted , the calendar year ending on December 31 . Majority - owned subsidiary . The term " majority - owned subsidi- ary ...
39. lappuse
... fiscal years of the registrant following the last fiscal year for which certified financial statements were in- cluded in the registration statement referred to in subparagraph ( a ) ( 1 ) above , the application shall also include ...
... fiscal years of the registrant following the last fiscal year for which certified financial statements were in- cluded in the registration statement referred to in subparagraph ( a ) ( 1 ) above , the application shall also include ...
40. lappuse
... fiscal year on the form appropriate for annual reports pursuant to Section 13 of the Act . If the registrant has filed annual reports for such fiscal years pursuant to Section 15 ( d ) of the Act , it may file with the application ...
... fiscal year on the form appropriate for annual reports pursuant to Section 13 of the Act . If the registrant has filed annual reports for such fiscal years pursuant to Section 15 ( d ) of the Act , it may file with the application ...
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Bieži izmantoti vārdi un frāzes
account of customers admitted to dealing aggregate indebtedness amendment annual report application for registration application or report appropriate assets beneficial owner broker or dealer certificate consent and power deemed directly or indirectly director effective date equity security exempt security Exempted From Registration Exemption From Section financial statements fiscal form of proxy furnish hypothecation incorporated by reference issuance issuer lien or claim listed and registered loan managing agent material means ment national securities exchange officer operation of section owner or lessee paragraph partner or managing person pledgees power of attorney proxy statement purchase or sale pursuant to section registered or applying registration statement rules and regulations section 12 Securities Act securities carried securities ex Securities Exchange Act securities sold security exempted security holders security is admitted Service of Process solicitation specified stabilizing suant term thereto tion transaction unlisted trading privileges warrant
Populāri fragmenti
3. lappuse - Secretary shall be taken and held in all Courts to be as valid and binding as if due service had been made upon said applicant in the State of Kentucky.
29. lappuse - Control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a...
80. lappuse - manipulative, deceptive, or other fraudulent device or contrivance", as used in section 15 (c) (1) of the act, Is hereby defined to Include any...
28. lappuse - affiliate' of, or a person 'affiliated' with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "(f) Control. The term 'control' (including the terms 'controlling,
3. lappuse - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
18. lappuse - ... (a) to employ any device, scheme or artifice to defraud, (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
27. lappuse - Act, except to such extent and subject to such terms and conditions as the Commission, having due regard for the public interest and the protection of investors, may prescribe by rules or regulations with respect to any class of persons, securities, or transactions...
31. lappuse - In the case of shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or noncumulative; a brief indication of the preference, if any; and if convertible, a statement to that effect.
72. lappuse - As to each class of securities of the bank, or of any person specified in paragraph (b), which is admitted to dealing on a national securities exchange or with respect to which a market otherwise exists, and which will be materially affected by the plan, state the high and low sale prices (or, in the absence of trading in a particular period, the range of the bid and asked prices) for each quarterly period within two years. This information may be omitted if the plan involves merely the voluntary...
93. lappuse - Commission) of the amount of all equity securities of such issuer of which he is the beneficial owner, and within ten days after the close of each calendar month thereafter, if there has been...