Federal Securities Law ManualSorg Printing, 1961 - Securities |
Common terms and phrases
aggregate amendment amount annual report application appropriate regulatory agency assets balance sheet basis broker or dealer certificate class of securities clearing agency consolidated consolidated subsidiaries copies deemed directly or indirectly director or officer distribution effective date employees equity securities exemption exhibits Federal Federal Reserve System filed pursuant financial statements Form 8-K furnished included income income statements information required Instruction issuer material ment municipal securities dealer national securities exchange necessary or appropriate offering price omitted operations options otherwise paragraph participant percent period principal prior proposed protection of investors provisions proxy statement public interest purchase purposes pursuant to Section regis registered securities registrant's registration statement reserves respect rules and regulations Schedule 13D Securities Act securities being registered Securities Exchange Act security holders self-regulatory organization shares solicitation specified suant subsidiaries tender offer term thereof thereto tion transaction underwriters voting warrants or rights