General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1956 - Securities |
From inside the book
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Page 6
... given or sent to such customer disclosing that such securities are or may be hypothecated under circumstances which will permit the commingling thereof with securities carried for the account of other cus- tomers . The term " the ...
... given or sent to such customer disclosing that such securities are or may be hypothecated under circumstances which will permit the commingling thereof with securities carried for the account of other cus- tomers . The term " the ...
Page 24
... given in tab- ular form , it shall be given in substantially the Tabular form aqihed in the item . All instruc- home , whether appearing under the items of the bomo lo where therein , are to be omitted from the application on report ...
... given in tab- ular form , it shall be given in substantially the Tabular form aqihed in the item . All instruc- home , whether appearing under the items of the bomo lo where therein , are to be omitted from the application on report ...
Page 35
... given if no instructions are received by a tain date . c ) Any solicitation by a person in respect of urities of which he is the beneficial owner . d ) Any solicitation involved in the offer or sale a certificate of deposit or other ...
... given if no instructions are received by a tain date . c ) Any solicitation by a person in respect of urities of which he is the beneficial owner . d ) Any solicitation involved in the offer or sale a certificate of deposit or other ...
Page 37
... given to ecurity holders , or such shorter period prior to hat date as the Commission may authorize upon showing of good cause therefor . ( b ) Three preliminary copies of any additional oliciting material , relating to the same meeting ...
... given to ecurity holders , or such shorter period prior to hat date as the Commission may authorize upon showing of good cause therefor . ( b ) Three preliminary copies of any additional oliciting material , relating to the same meeting ...
Page 37
... given if no instructions are received by a tain date . c ) Any solicitation by a person in respect of irities of which he is the beneficial owner . d ) Any solicitation involved in the offer or sale certificate of deposit or other ...
... given if no instructions are received by a tain date . c ) Any solicitation by a person in respect of irities of which he is the beneficial owner . d ) Any solicitation involved in the offer or sale certificate of deposit or other ...
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Common terms and phrases
amendment amount annual report application for registration application or report appropriate arbitrage becomes effective behalf beneficial owner broker or dealer cation certificate Commission confidential portion copies curities deemed device or contrivance directly or indirectly director distribution document effective date equity security exempted security Exemption from section filed pursuant financial statements fiscal form of proxy furnished hearing hypothecation Investment Company issuer lien listed and registered means ment national securities ex national securities exchange officer operation of section otherwise paragraph participant period prior promptly proxy statement pursuant to section record registration statement reports pursuant respect rules and regulations section 12 Securities Act securities association securities carried Securities Exchange Act security holders service of process sion specified suant subparagraph subsidiary syndicate or group term thereof thereto thereunder tion transactions unless unlisted trading privileges vote voting trust
Popular passages
Page 9 - ... (1) to employ any device, scheme, or artifice to defraud, "(2) 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, or...
Page vii - 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, or (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Page 2 - ... before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts...
Page 81 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Page 39 - 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...
Page 19 - ... 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.
Page 42 - Your present principal occupation or employment and the name, principal business, and address of any corporation or other organization in which such employment is carried on.