General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1942 |
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자주 나오는 단어 및 구문
account of customers admission to dealing annual reports application for registration applications filed arbitrage bankruptcy beneficial owner broker or dealer certificates certificates of deposit class of securities Commission copies corporation deemed device or contrivance directly or indirectly director or officer equity security exempted security Exemption From Section filed pursuant financial statements fiscal furnished hypothecation Interstate Commerce Act Investment Company Act issued issuer lien or claim listed security listing and registration loan ment Motor Carrier Act national securities exchange nominee odd-lot operation of section otherwise owner or lessee permanent registration person prior promptly proxy statement pursuant to rule pursuant to section registration of securities registration pursuant registration statement regulation RULES UNDER SECTION section 12 securities carried Securities Exchange Act security exempted security holders specified stabilizing suant subsidiary thereof thereto tion transaction unissued security unissued warrant unless unlisted trading privileges voting trust
인기 인용구
7 페이지 - In cases where financial statements filed with this commission pursuant to its rules and regulations under the securities act of 1933 or the securities exchange act of 1934...
11 페이지 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person...
1197 페이지 - ... (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...
1207 페이지 - 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...
1 페이지 - manipulative, deceptive, or other fraudulent device or contrivance," as used in section 15 (c) (1) of the act, is hereby defined to include any act of any broker or dealer...
2 페이지 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
1185 페이지 - ... amount sufficient to eliminate such excess are paid or placed in transfer to pledgees for the purpose of reducing the sum of the liens or claims to which securities carried for the account of customers are...
20 페이지 - Issuer or of such person, and as to the effect of the plan thereon and such other Information as may be appropriate In the particular case to disclose adequately the nature and effect of the proposed action.