General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1965 - Securities |
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Page viii
... Dealers 15b1-1 . Application for registration of broker or dealer ..... 15b1-2 . Statement of financial condition to be filed with application for registration as a broker or dealer . 15b1-3 . Registration of successor to registered broker ...
... Dealers 15b1-1 . Application for registration of broker or dealer ..... 15b1-2 . Statement of financial condition to be filed with application for registration as a broker or dealer . 15b1-3 . Registration of successor to registered broker ...
Page xiii
... Broker - Dealers Any provision of any rule or regulation under the Act which prohibits any act , practice , or ... dealer registered pursuant to section 15 ( b ) of the Act , or any person acting on behalf of such a broker or dealer ...
... Broker - Dealers Any provision of any rule or regulation under the Act which prohibits any act , practice , or ... dealer registered pursuant to section 15 ( b ) of the Act , or any person acting on behalf of such a broker or dealer ...
Page xvi
... broker or dealer under a lien for a loan made to such member , broker or dealer ; or ( 3 ) that will permit securities carried for the account of customers to be hypothecated , or sub- jected to any lien or liens or claim or claims of ...
... broker or dealer under a lien for a loan made to such member , broker or dealer ; or ( 3 ) that will permit securities carried for the account of customers to be hypothecated , or sub- jected to any lien or liens or claim or claims of ...
Page 1
... broker or dealer who is subject to this or to Rule 15c2-1 shall be disregarded . Exemption for cash accounts . The pro- ns of paragraph ( a ) ( 1 ) hereof shall not y to any hypothecation of securities carried he account of a customer ...
... broker or dealer who is subject to this or to Rule 15c2-1 shall be disregarded . Exemption for cash accounts . The pro- ns of paragraph ( a ) ( 1 ) hereof shall not y to any hypothecation of securities carried he account of a customer ...
Page 2
... dealer to offset odd- lot orders of customers ; ( 5 ) Any sale by an odd ... broker for purchaser after sale , or shall fail to delive security on the ... broker and the sale was at a price permissible for a short sale under Rule 10a - 1 ...
... dealer to offset odd- lot orders of customers ; ( 5 ) Any sale by an odd ... broker for purchaser after sale , or shall fail to delive security on the ... broker and the sale was at a price permissible for a short sale under Rule 10a - 1 ...
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Common terms and phrases
Amended Feb amount annual report application for registration appropriate becomes effective behalf broker or dealer cation certificate certificates of deposit Commission curities deceptive device deemed device or contrivance directly or indirectly director or officer distribution document effective date employees equity security exempt security exhibits filed pursuant financial statements fiscal form of proxy hypothecation incorporated by reference interest investment adviser Investment Company issuer listing and registration loan means ment national securities ex national securities exchange omitted operation of section otherwise paragraph participant period power of attorney prior promptly Provided proxy statement pursuant to Rule pursuant to section regis registration statement Release report filed reports pursuant rity section 12 secu securities carried security holders specified stabilizing bid statement or report suant subparagraph subsidiary term thereto tion transaction trust unless unlisted trading privileges vote voting trust warrants or rights
Popular passages
Page 7 - 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...
Page 25 - That the issuer may rely in good faith on such information as is received in response to its request from a nonaffiliated issuer of the certificates or evidences of interest. (2) Whole or fractional securities issued by a savings and loan association...
Page 18 - ... 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...
Page 18 - Control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a...
Page 22 - Information required need be given only insofar as it is known or reasonably available to the registrant. If any required information is unknown and not reasonably available to the registrant, either because the obtaining thereof would involve unreasonable effort or expense, or because it rests peculiarly within the knowledge of another person not affiliated with the registrant, the information may be omitted subject to the following conditions: a.
Page 51 - The term manipulative, deceptive, or other fraudulent device or contrivance, as used in section 15(c)(l) of the Act, is hereby defined to include any untrue statement of a material fact and any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they are made, not misleading, which statement or omission is made with knowledge or reasonable grounds to believe that it is untrue or misleading. (c) The scope of this section shall...
Page 18 - affiliate' of, or a person 'affiliated' with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "(f) Control. The term 'control' (including the terms 'controlling,
Page 18 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, 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,...
Page 24 - The following statement and list of contents shall be set forth on the first page of the application immediately following the facing page thereof: This application is...
Page 48 - 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.