General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1946 |
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account of customers admitted to dealing admitted to unlisted annual report pursuant application for registration applications filed appropriate form bankruptcy become effective beneficial owner broker or dealer certificates of deposit class of securities Commission copies corporation deemed device or contrivance directly or indirectly equity security exempt security filed on form filed pursuant financial statements fiscal foreign furnished hypothecation indebtedness Interstate Commerce Act Investment Company Act issued issuer Item listed and registered listed security ment Motor Carrier Act national securities exchange nominee notice operation of section otherwise period permanent registration prior promptly proxy statement purchase or sale pursuant to rule pursuant to section registered pursuant registration of securities registration statement section 12 Securities Act securities carried Securities Exchange Act security exempted security holders security registered specified stabilizing suant subsidiaries thereof thereto tion transaction unissued security unissued warrant unlisted trading privileges voting trust
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1199 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.
1 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.
1 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...
1284 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...
1287 페이지 - Commission) of the amount of all equity securities of such issuer of which he is the beneficial owner, and within ten days after the close of each calendar month thereafter, if there has been...
12 페이지 - Nothing in this rule shall be construed to imply authority for the omission of any procedure which independent accountants would ordinarily employ in the course of an audit made for the purpose of expressing the opinions required by paragraph (c) of this rule.
1287 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...
9 페이지 - All guarantees of accounts and all powers of attorney and other evidence of the granting of any discretionary authority given In respect of. any account, and copies of resolutions empowering an agent to act on behalf of a corporation. (7) All written agreements (or copies thereof) entered into by such member, broker or dealer relating to his business as such, including agreements with respect to any account.
1258 페이지 - ... circumstances reasonably calculated to result in the procurement, withholding, or revocation of a proxy. The terms do not apply, however, to the furnishing of a form of proxy to a security holder upon the unsolicited request of such security holder, the performance by the bank of acts required by § 11.5(g), or the performance by any person of ministerial acts on behalf of a person soliciting a proxy. (bb) A "subsidiary...
1199 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 national securities exchange, "(a) To employ any device, scheme, or artifice to defraud.