General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1955 |
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1.–5. rezultāts no 20.
14. lappuse
... reasonable grounds to believe , is the result of one or more transactions raising the price thereof for the purpose of inducing the purchase of such security by others ; or ( 5 ) effect any purchase thereof at a price at which he knows ...
... reasonable grounds to believe , is the result of one or more transactions raising the price thereof for the purpose of inducing the purchase of such security by others ; or ( 5 ) effect any purchase thereof at a price at which he knows ...
17. lappuse
... reasonable grounds to believe that an offer enabling him to cover such sale is then available to him in such foreign securities market and intends to accept such offer immediately ; or ( 9 ) Any sale of a security on a national ...
... reasonable grounds to believe that an offer enabling him to cover such sale is then available to him in such foreign securities market and intends to accept such offer immediately ; or ( 9 ) Any sale of a security on a national ...
19. lappuse
... has been filed with the Commission by a national securities exchange , provided that the person paying such compensation does not know or have reasonable grounds to believe , at the time he pays GENERAL RULES AND REGULATIONS 19.
... has been filed with the Commission by a national securities exchange , provided that the person paying such compensation does not know or have reasonable grounds to believe , at the time he pays GENERAL RULES AND REGULATIONS 19.
20. lappuse
United States. Securities and Exchange Commission. reasonable grounds to believe , at the time he pays or offers or agrees to pay such compensation , that transactions connected with such distri- bution are being carried out in violation ...
United States. Securities and Exchange Commission. reasonable grounds to believe , at the time he pays or offers or agrees to pay such compensation , that transactions connected with such distri- bution are being carried out in violation ...
31. lappuse
... reasonably to be informed before buying or selling the security registered . Parent . A " parent " of a specified person is an affiliate controlling such person directly , or indirectly through one or more intermediaries . Predecessor ...
... reasonably to be informed before buying or selling the security registered . Parent . A " parent " of a specified person is an affiliate controlling such person directly , or indirectly through one or more intermediaries . Predecessor ...
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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...