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 10.
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... Supplemental material__ EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 ( c ) ( 2 ) X - 7C2-1 . Exemption from section 7 ( c ) ( 2 ) of certain securities ex- empted from registration or admitted to trading on ex ...
... Supplemental material__ EXEMPTION OF CERTAIN SECURITIES FROM THE OPERATION OF SECTION 7 ( c ) ( 2 ) X - 7C2-1 . Exemption from section 7 ( c ) ( 2 ) of certain securities ex- empted from registration or admitted to trading on ex ...
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... Supplements and amendments to applications ............... X - 15B - 3 . Adoption of application filed by predecessor__ Page 78 78 79 79 X - 15B - 4 . Registration of successor to registered broker or dealer ... X - 15B - 5 ...
... Supplements and amendments to applications ............... X - 15B - 3 . Adoption of application filed by predecessor__ Page 78 78 79 79 X - 15B - 4 . Registration of successor to registered broker or dealer ... X - 15B - 5 ...
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... supplements to registration statements of securities associations ... - - REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS X - 16A - 1 . Reports under section 16 ( a ) . X - 16A - 2 . Ownership of more than 10 percent of an ...
... supplements to registration statements of securities associations ... - - REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS X - 16A - 1 . Reports under section 16 ( a ) . X - 16A - 2 . Ownership of more than 10 percent of an ...
8. lappuse
... Supplemental Material . Each exchange registered as a national securities exchange or ex- empted from such registration shall furnish the following supple- mental material : ( a ) Within 10 days after any action is taken which renders ...
... Supplemental Material . Each exchange registered as a national securities exchange or ex- empted from such registration shall furnish the following supple- mental material : ( a ) Within 10 days after any action is taken which renders ...
77. lappuse
... supplement to such application on Form BD not later than September 1 , 1954 ; provided , however , that if any information in such applica- tion is or becomes inaccurate for any reason prior to September 1 , 1954 , such supplement shall ...
... supplement to such application on Form BD not later than September 1 , 1954 ; provided , however , that if any information in such applica- tion is or becomes inaccurate for any reason prior to September 1 , 1954 , such supplement shall ...
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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
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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...