General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1970 |
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Adopted Amended paras American depositary receipts amount annual report application applies to solicitations behalf broker or dealer broker-dealer certificate class of securities commenced after Feb Commission copies curities deemed director or officer distribution employees equity security filed pursuant financial statements form of proxy furnished hypothecation interest Investment Company issuer Item last fiscal listing and registration market maker ment national securities ex national securities exchange nonmember broker options otherwise paragraph participant period prior promptly Provided proxy statement purchase pursuant to Rule pursuant to section registered pursuant registration statement regulation Release reports pursuant rity Schedule 13D section 12 secu securities carried Securities Exchange Act securities registered security holders solicitations commenced specified stabilizing statement or report suant subparagraph subsidiaries tender offer term thereof tion transaction unlisted trading privileges vote voting trust warrants or rights
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14 페이지 - ... (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.
89 페이지 - ... of the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940...
14 페이지 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud.
53 페이지 - Immediate family, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a director or officer of the bank or any of its parents or subsidiaries. (e) The term "charter...
51 페이지 - Items 2 to 6, inclusive, shall be given with respect to (1) each partner or any partnership or limited partnership; (2) each member of such syndicate or group; and (3) each person controlling such partner or member. If a person referred to in (1), (2), or (3...
32 페이지 - 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.
50 페이지 - ... days after such acquisition, send to the issuer of the security at its principal executive office, by registered or certified mail, send to each exchange where the security is traded, and file with the Commission, a statement containing...
30 페이지 - ... the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a director or officer of the registrant or any of its parents or subsidiaries. Certified. The term "certified...
89 페이지 - 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.
81 페이지 - Seven copies of the report sent to security holders pursuant to this rule shall be mailed to the Commission, solely for its information, not later than the date on which such report is first sent or given to security holders or the date on which preliminary copies of solicitation material are filed with the Commission pursuant to Rule 14a-6(a), whichever date is later. The report is not deemed to be "soliciting material...