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... SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking ...por United States. Congress. Senate. Committee on Banking and Currency, United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1957 - 272 páginasVisualização integral - Acerca deste livro
| United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...market. SBC. 15. (a) Every person who Is directly or indirectly the beneficial owner of more than 5 per centum of any class of any equity security (other...is registered on a national securities exchange, or who is a director or an officer of the issuer of such security shall file with the exchange and with... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 páginas
...STOCKHOLDERS SEC. 15. (a) Every person who is directly or indirectly the beneficial owner of more than 5 per centum of any class of any equity security (other...is registered on a national securities exchange, or who la a director or an officer of the Issuer of such security shall file with the exchange and with... | |
| United States. Securities and Exchange Commission - 1935 - 208 páginas
...and Principal Stockholders S"。. 16. (a) Every person who is directly or indirectly the heneficial owner of more than 10 per centum of any class of any...is registered on a national securities exchange, or who is a director or an officer of the issuer of such security, shall file, at the time of the registration... | |
| United States. Securities and Exchange Commission - 1936 - 1320 páginas
...Securities and Exchange Act of 1934, which provides that: "Every person who 1« directly or indirectly the beneficial owner of more than 10 per centum of any...security (other than an exempted security) which Is held common stock ; and in many instances these holdings represented a substantial percentage of the... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1936 - 140 páginas
...be extended to any security if the issuer thereof, or the officers, directors, or beneficial owners of more than 10 per centum of any class of any equity security of such issuer, would thereby obtain the benefits of an exchange market for such security without being... | |
| United States. Congress. House. Committee on Appropriations - 1937 - 1180 páginas
...every person who is or who becomes directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an...is registered on a national securities exchange, or who is a director or an officer of the issuer of such a security, shall file an initial statement of... | |
| United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...person who is, or who becomes directly or indirectly, the beneficial owner of more than 10 percent of any class of any equity security (other than an...is registered on a national securities exchange, or who is a director or an officer of the issuer of such a security, shall file an initial statement of... | |
| United States. Securities and Exchange Commission - 1941 - 1124 páginas
...(a) requires that such reports be filed by every person — . . . who is directly or Indirectly the beneficial owner of more than 10 per centum of any...is registered on a national securities exchange, or who Is a director or an officer of the issuer of such a security. Section 16 (b), with certain exceptions,... | |
| United States. Securities and Exchange Commission - 1960 - 996 páginas
...here requires that every person who Is directly or Indirectly the beneficial owner of more than 10% of any class of any equity security (other than an...which Is registered on a national securities exchange shall file within 10 days after he becomes such beneficial owner a statement with the exchange and... | |
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