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 37.
. lappuse
... purchases --- . MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES X - 10B - 1 . Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration_ X - 10B - 2 ...
... purchases --- . MANIPULATIVE AND DECEPTIVE DEVICES AND CONTRIVANCES X - 10B - 1 . Prohibition of use of manipulative or deceptive devices or contrivances with respect to certain securities exempted from registration_ X - 10B - 2 ...
. lappuse
... purchased or sold by odd - lot dealers . 99 100 X - 16A - 6 . Exemption from section 16 ( a ) of securities as to which reports are required under Holding Company Act ...... - 100 X - 16A - 7 . Use of Investment Company Act form___ 100 ...
... purchased or sold by odd - lot dealers . 99 100 X - 16A - 6 . Exemption from section 16 ( a ) of securities as to which reports are required under Holding Company Act ...... - 100 X - 16A - 7 . Use of Investment Company Act form___ 100 ...
9. lappuse
... purchase of such secus for or of a of such securities to , such enstomer , written notice is giver or sell to such customer disclosing thu ch securities are or may te hypot cated under circumstances which will permit the commingling ...
... purchase of such secus for or of a of such securities to , such enstomer , written notice is giver or sell to such customer disclosing thu ch securities are or may te hypot cated under circumstances which will permit the commingling ...
11. lappuse
... purchase of such securities for , or of sale of such securities to , such customer , written notice is given or sent to such customer disclosing that such securities are or may be hypothe- cated under circumstances which will permit the ...
... purchase of such securities for , or of sale of such securities to , such customer , written notice is given or sent to such customer disclosing that such securities are or may be hypothe- cated under circumstances which will permit the ...
13. lappuse
... purchase and or sale of any security ( other than an exempted security ) registered on a national securities exchange for the purpose of pegging , fixing , or stabilizing the price of such security ( hereinafter referred to as ...
... purchase and or sale of any security ( other than an exempted security ) registered on a national securities exchange for the purpose of pegging , fixing , or stabilizing the price of such security ( hereinafter referred to as ...
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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...