SEC Docket: A Weekly Compilation of Releases from the Securities and Exchange Commission, 50. sējums,1-10. izdevumsSecurities and Exchange Commission, 1991 |
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
Action addition Agreement amended amount application appropriate approved assets associated authority banks basis believes capital capped charge Clearing Member Commission Common Stock concerning consistent contracts copying Corporation costs cross-margin customers determine distribution Division effective execution exemption exercise File finds foreign Form Fund further granting hearing holding Index interest investment company investors issued Item limited listed Management margin ment million NASD Nasdaq notice October offering operation options organization participants Partnership period persons pilot Plan positions procedures proposed rule change purchase pursuant reasonable received Reference registered Regulation Release request requirements respect result risk roll-up Secretary Section Securities and Exchange SECURITIES EXCHANGE ACT Self-Regulatory Organization's Statement shares sion specific statements submitted thereunder tion trading transactions United violations written
Populāri fragmenti
377. 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.
305. 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...
509. lappuse - ... to prevent fraudulent and manipulative acts and practices and to promote just and equitable principles of trade.
169. 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.
331. lappuse - DOCKET 189 the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change...
398. lappuse - Sims, directly and indirectly, employed devices, schemes and artifices to defraud, obtained money and property by means of 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...
85. lappuse - The rules of the association 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...
176. lappuse - ... made untrue statements of material facts and omitted to state material facts necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
264. lappuse - States; and such other securities (which may include, among others, unregistered securities, the market in which is predominantly intrastate) as the Commission may, by such rules and regulations as it deems necessary or appropriate in the public interest or for the protection of investors, either unconditionally or upon specified terms and conditions or for stated periods, exempt from the operation of any one or more provisions of this title which by their terms do not apply to an " exempted security...
296. 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...