The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1995 The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. |
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Página 127
§ 239.16 §239.16A §239.18 Form N - 14 § 239.23 Form S - 8 ... §239.16b Form S - 4 §239.25 Form S - 18 . § 239.28 Form F - 1 $ 239.31 Form F - 2 ... §239.32 Form F - 3 §239.33 Form F - 4 Form F - 6 Form SR § 239.61 Form ET § 239.62 Form ID $ ...
§ 239.16 §239.16A §239.18 Form N - 14 § 239.23 Form S - 8 ... §239.16b Form S - 4 §239.25 Form S - 18 . § 239.28 Form F - 1 $ 239.31 Form F - 2 ... §239.32 Form F - 3 §239.33 Form F - 4 Form F - 6 Form SR § 239.61 Form ET § 239.62 Form ID $ ...
Página 129
... Form X- §249.801 3235-0030 Oct. 31 , 1990 . 7 . 15AA - 1 . Rule 17Ad- $ 240.17Ad- 3235-0273 July 31 , 1990 . Form X- §249.802 ...... 3235-0044 Oct. 31 , 1990 . 10 . 10 . 15AJ - 1 . Rule 17Ad- $ 240.17Ad- 3235-0341 Do. Form X- §249.803 ...
... Form X- §249.801 3235-0030 Oct. 31 , 1990 . 7 . 15AA - 1 . Rule 17Ad- $ 240.17Ad- 3235-0273 July 31 , 1990 . Form X- §249.802 ...... 3235-0044 Oct. 31 , 1990 . 10 . 10 . 15AJ - 1 . Rule 17Ad- $ 240.17Ad- 3235-0341 Do. Form X- §249.803 ...
Página 130
... Form U - A .. Form ET Form ID Form SE Rules 7a- 15 through 7a - 37 . Form T - 1 Form T - 2 Form T - 3 Form T - 4 Form ET Form ID Form SE .... ... ... ... .... ..... .... 17 CFR part or section where identi- fied and de- scribed ...
... Form U - A .. Form ET Form ID Form SE Rules 7a- 15 through 7a - 37 . Form T - 1 Form T - 2 Form T - 3 Form T - 4 Form ET Form ID Form SE .... ... ... ... .... ..... .... 17 CFR part or section where identi- fied and de- scribed ...
Página 194
... form and content of such financial statements , including the basis of consolidation and the schedules to be filed ... Form 10 - K and Form 10 - KSB or Form 10 and Form 10 - SB , is made within 45 days after the end of the registrant's ...
... form and content of such financial statements , including the basis of consolidation and the schedules to be filed ... Form 10 - K and Form 10 - KSB or Form 10 and Form 10 - SB , is made within 45 days after the end of the registrant's ...
Página 251
... Form 10 - Q and Form 10 - QSB , a letter from the registrant's independ- ent accountant shall be filed as an ex- hibit ( in accordance with the provi- sions of Item 601 of Regulation S - K , 17 CFR 229.601 ) in the first Form 10 - Q and ...
... Form 10 - Q and Form 10 - QSB , a letter from the registrant's independ- ent accountant shall be filed as an ex- hibit ( in accordance with the provi- sions of Item 601 of Regulation S - K , 17 CFR 229.601 ) in the first Form 10 - Q and ...
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Términos y frases comunes
48 Stat 54 Stat 90 Stat affiliates agency amount applicable assets balance sheet broker cash chapter cial cluded column Commis Commission Commission's copies costs Counsel curities dealer debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees Financial Data Schedule financial statements fiscal Form Holding Company income income statement information speci interest Investment Company Act investors issue istered istrant istration statement Item material mation ment offering sheet operations otherwise paragraph participation payment period person preferred stock prior proceeding prospectus purchase pursuant to Rule pursuant to section quired records registrant's registration statement Regulation request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof tion underwriter unit investment trust
Pasajes populares
Página 156 - control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Página 121 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Página 29 - ... (b) For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 372 - ... at least 80 percent of the total combined voting power of all classes of stock entitled to vote, and at least 80 percent of the total number of shares of all other classes of stock (except nonvoting stock which is limited and preferred as to dividends...
Página 451 - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.
Página 111 - ... particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he Is serving as officer, director, trustee, partner or employee. or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
Página 121 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Página 87 - ... (7) Investigatory records compiled for law enforcement purposes but only to the extent that the production of such records would (A) interfere with enforcement proceedings, (B) deprive a person of a right to a fair trial or an impartial adjudication, (C) constitute an unwarranted invasion of personal privacy, (D) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency...
Página 50 - Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.
Página 56 - ... in the public interest because furnishing the information can be considered as primarily benefiting the general public.