General Rules and Regulations Under the Securities Exchange Act of 1934, as Amended

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U.S. Government Printing Office, 1938

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1249 페이지 - As used in this paragraph the term "issuer" shall include, in addition to an issuer, any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer.
1249 페이지 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer" means any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, or any person insofar as he buys or sells securities for his own account, either individually or in some fiduciary capacity, but not as a part of a regular business. (6) The term...
1179 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...
1177 페이지 - If such security had been a security (other than an exempted security) registered on a national securities exchange.
1232 페이지 - Such statements shall be verified, if practicable. (c) Notwithstanding paragraphs (a) and (b) above, any or all of such financial statements which are not material for the exercise of prudent judgment in regard to the matter to be acted upon may be omitted.
1225 페이지 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication...
1241 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...
1241 페이지 - ... designed to effect with or for the account of a customer any transaction in, or to induce the purchase or sale by such customer of...
1235 페이지 - ... to the acquisition or disposition of any property furnish the following information: (a) Describe briefly the general character and location of the property. (b) State the nature and amount of consideration to be paid or received by the issuer or any subsidiary. To the extent practicable, outline briefly the facts bearing upon the question of the fairness of the consideration.
1232 페이지 - ... to be modified, state the title and amount thereof. If securities are to be Issued in exchange for outstanding securities, state the title and amount of securities to be so Issued, the title and amount of outstanding securities to be exchanged therefor and the basis of the exchange.

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