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(a) Unlawful activity. As a means reasonably designed to prevent fraudulent, deceptive or manipulative acts or practices in connection with a tender offer for equity ...
Sections 240.14e-1 and 240.14e-2 shall not apply to any offer by a closed-end management investment company to repurchase equity securities of which it is the ...
In order to implement section 14(h) of the Act (15 U.S.C. 78n(h)): (a)(1) It shall be unlawful for any person to receive compensation for soliciting ...
It is a fraudulent, deceptive or manipulative act or practice within the meaning of section 14(e) of the Act (15 U.S.C. 78n) for any person ...
Change in majority of directors. If, pursuant to any arrangement or understanding with the person or persons acquiring securities in a transaction subject to section ...
(a) A shareholder or group of shareholders that submits a nominee or nominees in accordance with §240.14a-11 or a procedure set forth under applicable state ...
(a) If any material change occurs with respect to the nomination, or in the disclosure or certifications set forth in the Schedule 14N (§240.14n-101) required ...
One copy of Schedule 14N (§240.14n-101) filed pursuant to §§240.14n-1 and 240.14n-2 shall be mailed by registered or certified mail or electronically transmitted to the ...
Rule 14n-101 — Schedule 14N—Information to be included in statements filed pursuant to §240.14n-1...
Securities and Exchange Commission, Washington, DC 20549 Schedule 14N Under the Securities Exchange Act of 1934 (Amendment No. _)* (Name of Issuer) (Title of ...
Preliminary Note: OTC derivatives dealers are a special class of broker-dealers that are exempt from certain broker-dealer requirements, including membership in a self-regulatory organization (§240.15b9-2), ...