Securities Exchange Act of 1934, as amended to July 1, 1991.

by United States

Publisher: U.S. Securities and Exchange Commission in Washington, D.C

Written in English
Published: Pages: 98 Downloads: 695
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Subjects:

  • Securities -- United States,
  • Stock exchanges -- Law and legislation -- United States

Edition Notes

ContributionsUnited States. Securities and Exchange Commission.
The Physical Object
Pagination98 p. ;
Number of Pages98
ID Numbers
Open LibraryOL16900754M

  Also, effective July 1, , Three Shores’ bank subsidiary, This press release contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of , as amended, and Section 21E of the Securities Exchange Act of , as amended. In general, forward-looking statements usually may be identified through.   Information set forth in this press release contains "forward-looking statements" (within the meaning of the federal securities laws, Section 27A of the Securities Act of , as amended, and. SECTION 1. This Act may be cited as the "Securities Exchange Act of " [Codified to 15 U.S.C. 78a] [Source: Section 1 of the Act of June 6, (Pub. L. No. ; 48 Stat. ), effective July 1, ] NOTE Short titles of acts amending the Securities Exchange Act of   Total lender commitments under the amended revolving credit facility are reduced to $ million in exchange for the suspension of the existing financial covenants from July 1, through March.

  pursuant to Rule under the Securities Act of and deemed filed pursuant to Rule 14a under the Securities Exchange Act of Subject Company: Johnson Controls, Inc. Commission File. 11 hours ago  This prospectus incorporates by reference the documents listed below (File No. )and any future filings we make with the SEC under Sections 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act of , as amended, or the Exchange Act (in each case, other than those documents or the portions of those documents not deemed to be filed. “forward-looking statements” within the meaning of the United States Private Securities Litigation Reform Act of , Section 21E of the United States Securities Exchange Act of , as amended, and Section 27A of the Securities Act. Such statements are generally identifiable by the terminology used such as “plan,” “expect,”. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SCHEDULE 13D Under the Securities Exchange Act of (Amendment No. 1)* Rand Capital Corporation (Name of Issuer) Common Stock, par value $ per share (Title of Class of Securities) (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer.

registered under the Securities Act of , as amended (the "Securities Act"), pursuant to a Registration Statement of which this Prospectus is a part, for an equal principal amount of its outstanding % Series A Senior Unsecured Sinking Fund Notes due July 1, (the "Series A Notes"), of which $65,, A — Rules and Regulations Under the Securities Exchange Act of [36 FR , Feb. 27, , as amended at 48 FR , Oct. 14, ; 56 FR , July 1, ; 62 FR , J ] d-6 — Suspension of duty to file reports. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF Date of Report (Date of earliest event reported): July 1, Heyu Biological Technology Corporation (Exact Name of Registrant as Specified in its Charter). 1. From October 1, , to Ma , and July 1, , to Septem (“Review Period”), due to various systems issues, Sanford Bernstein routed Intermarket Sweeps Orders (“ISOs”) to market centers without routing additional ISOs to one or more protected quotations in violation of Securities Exchange Act of (“Exchange.

Securities Exchange Act of 1934, as amended to July 1, 1991. by United States Download PDF EPUB FB2

1991. book SECURITIES EXCHANGE ACT OF [AS AMENDED THROUGHP.L.APPROVEDAUGUST10, ] TABLE OF CONTENTS TITLEI—REGULATION OFSECURITIESEXCHANGES. Sec. Short Title. Sec. Necessity for Regulation As Provided in This Title. Sec. Size: KB. Get this from a library.

Securities Exchange Act ofas amended to July 1, [United States,; United States. Securities and Exchange Commission.]. SECURITIES AND EXCHANGE COMMISSION. WASHINGTON, D.C. FORM 8-K. CURRENT REPORT.

PURSUANT TO SECTION 13 OR 15(d) OF THE. SECURITIES EXCHANGE ACT OF July 1, (Date of Report (Date of Earliest Event Reported)) EXTRA SPACE STORAGE INC. (Exact Name of Registrant as Specified in Its Charter). Exhibit DESCRIPTION OF REGISTRANT’S SECURITIES.

REGISTERED PURSUANT TO SECTION 12 OF THE. SECURITIES EXCHANGE ACT OF As of MaMedallion Financial Corp. (the “Company” or “we”) had two classes of securities registered under Section 12 of the Securities Exchange Act ofas amended to July 1 amended (the “Exchange Act”): (1).

Inthe Securities and Exchange Commission (SEC) began to enact rules against fraud in securities trading under the authority granted to it by the Securities and Exchange Act of Read below for more information about Rule 10b of the Act, its history and purpose, and how the SEC has used its provisions to combat securities fraud.

(1) Is required to file reports pursuant to section 13 or 15(d) of the Securities Exchange Act of and (2) Has filed its report or reports on Form K and Form KSB, Form Q and Form QSB, Form 8-K, Form F, Form F, or Form 6-K, or has supplied to the Commission copies of the annual report sent to security holders pursuant to.

2 of 2 DOCUMENTS. SEC No-Act. LEXIS Securities Exchange Act of -- Section 15(a), 15(b) J [*1] Paul Anka. TOTAL NUMBER OF LETTERS: 3 SEC-REPLY SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C.

The subject company shall be exempt from this section with respect to a tender offer conducted under § d-1(c). [ 44 FRDec. 6,as amended at 56 FRJuly 1, ; 64 FRNov.

10, ]. (a) Securities for which the filing of registration statements on Form 18 [17 CFR ] are authorized shall be exempt from the operation of sections 14 and 16 of the Act.

(b) Securities registered by a foreign private issuer, as defined in Rule 3b-4 (§ b-4 of this chapter), shall be exempt from sections 14(a), 14(b), 14(c), 14(f) and. (a) Securities of any class issued by any foreign private issuer shall be exempt from section 12(g) (15 U.S.C.

78 l (g)) of the Act if the class has fewer than holders resident in the United exemption shall continue until the next fiscal year end at which the issuer has a class of equity securities held by or more persons resident in the United States.

Also known as Exchange Act or '34 Act. The federal statute regulating the periodic reporting obligations of reporting companies, tender offers, certain trading practices, insider trading and the registration and conduct of SEC requires that reporting companies enter its periodic reporting system and file annual, quarterly, and current reports and proxy statements.

Included in this filing are (1) the complete text of Item 15 of Part IV, including the list of exhibits pursuant to Item 15(b) of Part IV, (2) the signature page and (3) the certifications required by Rule 13a(a) of the Securities Exchange Act ofas amended, which have been re-executed and re-filed as of the date of the Amendment as Exhibits andrespectively.

The information in Item of this Current Report on Form 8-K, including Exhibitis being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act ofas amended (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed to be incorporated.

The Securities Exchange Act of was created to govern securities transactions on the secondary market and ensure fairness and investor confidence. This section not to affect or apply to any private action arising under this chapter or title I of the Securities Act of (15 U.S.C.

77a et seq.), commenced before and pending on Dec. 22,see section of Pub. –67, set out as an Effective Date of Amendment note under section 77l of this title.

The Depository Trust Company (DTC) DTCC's subsidiary, The Depository Trust Company (DTC), established inwas created to reduce costs and provide clearing and settlement efficiencies by immobilizing securities and making "book-entry" changes to ownership of the securities.

DTC brings efficiency to the securities industry by retaining custody of more than million active securities. Certification of a Foreign Private Issuer's Termination of Registration of a Class Of Securities Under Section 12(G) of the Securities Exchange Act of or Its Termination of the Duty to File Reports Under Section 13(A) or Section 15(D) of the Securities Exchange Act of NOTE: Form 15F is available for use as of 6/4/ Form “Securities Act of ,” “Securities Exchange Act of ,” “Investment Advisers Act of ,” and “Investment Company Act of ” mean the federal statutes of those names as amended before or after the effective date of this law.

(Amended by Stats.Ch.Sec. (AB ) Effective January 1, ). SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. FORM 8-K. CURRENT REPORT. Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of Date of Report (Date of earliest event reported): J Altus Midstream Company (Exact name of registrant as specified in its charter).

The information furnished pursuant to this Itemincluding Exhibitshall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act ofas amended (the. The Securities Exchange Act of (also called the Exchange Act, '34 Act, or Act) (Pub.L.

73–, 48 Stat.enacted June 6,codified at 15 U.S.C. § 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. A landmark of wide-ranging legislation, the Act of '34 and related statutes. (B) the Commodity Exchange Act or the Commodities Future Trading Commission, or a member of the National Futures Association or the Municipal Securities Rulemaking Board; or (C) an entity that is organized under or registered pursuant to the Securities Exchange Act ofInvestment Company Act ofor the Investment Advisers Act of ; or.

(F) Proprietary transactions by a firm that is a member of both FINRA and a national securities exchange, effected in its capacity as an exchange specialist or market maker, that are subject to Securities Exchange Act ofSection 11(a) and Rule 11a(T)(a) thereunder; however this exemption does not apply to other transactions permitted.

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past The Maloney Act, enacted on J amended the Securities Exchange Act of to provide for the formation of a national association of brokers and dealers that would create and enforce disciplinary rules and promote just and equitable principles of trade.

The U.S. Securities and Exchange Commission was provided with the power to review all. July 1, Reblog. and Section 21E of the Securities Exchange Act ofas amended, including, among others, statements related to the expected or potential impact of the novel. Pursuant to Rule 15c under the Securities Exchange Act ofas amended, trades in the secondary market generally are required to settle in two business days, unless the parties to.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13A OR 15D OF THE SECURITIES EXCHANGE ACT OF For the month of July FRESENIUS MEDICAL CARE AG & Co.

KGaA (Translation of registrant’s name into English) Else-Kr¨oner Strasse 1. (b)(2) to insert “subject to Section 15(h) of the Securities Exchange Act of ,” and to make a technical change, amended Subsec. (d) to substitute “self-regulatory organization” for “national securities exchange or national securities association registered under the Securities Exchange Act of ”, and added Subsec.

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. _____ FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF Date of Report (Date of earliest event reported): Septem NATIONSBANK CORPORATION _____ (Exact name of registrant as specified in its charter) North Carolina 1.

This news release may contain "forward-looking statements" within the meaning of Section 21E of the Securities Exchange Act ofas amended, and the U.S.

Private Securities Litigation Reform. The Securities Exchange Act of is a federal law that regulates the secondary trading of securities such as stocks and bonds. The secondary market is the market for securities after they have been issued. The primary market is the market for newly-issued securities and is regulated by the Securities Act of Read below for information about the Securities Exchange Act of .Securities Exchange Act ofas amended (Exchange Act) Also known as Exchange Act or '34 Act.

The federal statute regulating the periodic reporting obligations of reporting companies, tender offers, certain trading practices, insider trading and the registration and conduct of broker-dealers.