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 26.
2. lappuse
... ment with the Commission or an exchange may apply to the Com- mission for an opinion pursuant to paragraph ( a ) . Applications may be made by informal letter and need contain only so much of the information in question as may be ...
... ment with the Commission or an exchange may apply to the Com- mission for an opinion pursuant to paragraph ( a ) . Applications may be made by informal letter and need contain only so much of the information in question as may be ...
4. lappuse
... ment adviser is pending at the time this rule becomes effective such consents and powers of attorney shall be furnished within 30 days after this rule becomes effective . ( 3 ) Each investment adviser registered or applying for ...
... ment adviser is pending at the time this rule becomes effective such consents and powers of attorney shall be furnished within 30 days after this rule becomes effective . ( 3 ) Each investment adviser registered or applying for ...
7. lappuse
... ment , any exhibit , or any amendment was inaccurate when filed , the exchange shall file with the Commission an amendment correcting such inaccuracy . ( d ) Whenever the number of changes to be reported in an amend- ment , or the ...
... ment , any exhibit , or any amendment was inaccurate when filed , the exchange shall file with the Commission an amendment correcting such inaccuracy . ( d ) Whenever the number of changes to be reported in an amend- ment , or the ...
9. lappuse
... MENT TO R extent that sic nezler . IEEE livery of securte i IL DE subject to a Zen via to be " securities a their release from me is m ( 3 ) age reason of unenlerei me I s . related garan account and sustenta co counts carrying but Butt ...
... MENT TO R extent that sic nezler . IEEE livery of securte i IL DE subject to a Zen via to be " securities a their release from me is m ( 3 ) age reason of unenlerei me I s . related garan account and sustenta co counts carrying but Butt ...
10. lappuse
... ment of banking hours on the next banking day at the place where the largest principal amount of loans of such member , broker or dealer are payable and , in any event , before such member , broker or dealer on such day has obtained or ...
... ment of banking hours on the next banking day at the place where the largest principal amount of loans of such member , broker or dealer are payable and , in any event , before such member , broker or dealer on such day has obtained or ...
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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...