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 26
... relating to shares , and the number units if relating to any other kind of security . Associate . The term " associate " used to indi- te a relationship with any person , means ( 1 ) any rporation or organization ( other than the regis ...
... relating to shares , and the number units if relating to any other kind of security . Associate . The term " associate " used to indi- te a relationship with any person , means ( 1 ) any rporation or organization ( other than the regis ...
Page 21
... relating to shares , and the number › f units if relating to any other kind of security . Associate . The term " associate " used to indi- ate a relationship with any person , means ( 1 ) any orporation or organization ( other than the ...
... relating to shares , and the number › f units if relating to any other kind of security . Associate . The term " associate " used to indi- ate a relationship with any person , means ( 1 ) any orporation or organization ( other than the ...
Page 21
... relating to shares , and the number of units if relating to any other kind of security . Associate . The term " associate " used to indi- cate a relationship with any person , means ( 1 ) any corporation or organization ( other than the ...
... relating to shares , and the number of units if relating to any other kind of security . Associate . The term " associate " used to indi- cate a relationship with any person , means ( 1 ) any corporation or organization ( other than the ...
Page 28
... relating to the withdrawal and striking of a security from listing and regis- tration . During the continuance of such suspen- sion the exchange shall notify the Commission promptly of any change in the reasons for the suspension . Upon ...
... relating to the withdrawal and striking of a security from listing and regis- tration . During the continuance of such suspen- sion the exchange shall notify the Commission promptly of any change in the reasons for the suspension . Upon ...
Page 30
... relating to each a change . § 240.12f - 3 . Termination or Suspension of U listed Trading Privileges . ( a ) The issuer of any security for which listed trading privileges on any exchange br been continued or extended , or any broker ...
... relating to each a change . § 240.12f - 3 . Termination or Suspension of U listed Trading Privileges . ( a ) The issuer of any security for which listed trading privileges on any exchange br been continued or extended , or any broker ...
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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.