SEC Docket: A Weekly Compilation of Releases from the Securities and Exchange Commission, 5. sējumsSecurities and Exchange Commission, 1992 |
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
01 Par Value 450 Fifth Street Act and 17 Act and Rule amended American Stock Exchange Amex application approved available for inspection bank broker-dealer CBOE change Act Commission's committing or causing Common Stock Corporation distribution of unsecured Division of Invest Exchange Act Release Exchange Commission GOVERNMENT SPONSORED ENTERPRISES GSCC GSES HEREBY FURTHER ORDERED index options Interested persons Investment Company Act investors issuer Jonathan G Katz Secretary SECURITIES mary distributions money order Mortgage NASD net asset value Nikkei Stock Average NIPSCO notice NYSE Offer ORDER MAKING FINDINGS Participants policies and procedures Portfolio proposed rule change pursuant to delegated pursuant to Section registered request requirements Secretary SECURITIES EXCHANGE Section 17(a Securities and Exchange SECURITIES EXCHANGE ACT Self-Regulatory Organization's Statement Self-Regulatory Organizations shareholders sion Stock Exchange suant submitted thereunder tion trading transactions transfer agents unsecured debt securities Value File
Populāri fragmenti
1383. lappuse - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission 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, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
1241. lappuse - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
1370. lappuse - Commission shall grant such application and issue such order of exemption if evidence establishes that — (1) the terms of the proposed transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned...
1280. lappuse - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest...
1354. lappuse - Commission may designate up to ninety days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or as to which the...
835. lappuse - ... and, in general, to protect investors and the public interest, and to remove impediments to and perfect the mechanism of a free and open market...
1131. lappuse - ... if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of this title.
907. lappuse - Sims directly and indirectly employed devices, schemes and artifices to defraud, made untrue statements of material facts and omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading...
1220. lappuse - Commission finds that— (1) such acquisition will tend towards interlocking relations or the concentration of control of public-utility companies, of a kind or to an extent detrimental to the public interest or the interest of investors or consumers...
1206. lappuse - The rules of the exchange are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in regulating, clearing, settling, processing information with respect to, and facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest...