The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1968 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 68
... annual and other reports with national securities ex- changes and the Commission , by com- panies whose securities are listed upon the exchanges . Annual and other reports must be filed also by certain companies whose securities are ...
... annual and other reports with national securities ex- changes and the Commission , by com- panies whose securities are listed upon the exchanges . Annual and other reports must be filed also by certain companies whose securities are ...
Página 87
... annual reports filed pursuant to the Se- curities Exchange Act of companies hav- ing their principal office in their re- spective regions ; active broker - dealer and investment adviser applications originating in their respective ...
... annual reports filed pursuant to the Se- curities Exchange Act of companies hav- ing their principal office in their re- spective regions ; active broker - dealer and investment adviser applications originating in their respective ...
Página 90
... annual agreement between the Commission and the private contractor . A person who has been provided with copies of records upon request will be billed by the contractor for his copying services at rates shown in the Commis- sion's ...
... annual agreement between the Commission and the private contractor . A person who has been provided with copies of records upon request will be billed by the contractor for his copying services at rates shown in the Commis- sion's ...
Página 92
... ( annual , semiannual , quarterly , and current ) to keep current the information in above ap- plication for registration of securities . 13 ( a ) . Notices of suspension of trading-- 12 ( d ) . 12 ( d ) . Application to withdraw or ...
... ( annual , semiannual , quarterly , and current ) to keep current the information in above ap- plication for registration of securities . 13 ( a ) . Notices of suspension of trading-- 12 ( d ) . 12 ( d ) . Application to withdraw or ...
Página 93
... Annual reports by registered holding companies to keep 14 . reasonably current information in the registration statement . Application for an order of the Commission declaring 5 ( d ) . registrant has ceased to be a holding company ...
... Annual reports by registered holding companies to keep 14 . reasonably current information in the registration statement . Application for an order of the Commission declaring 5 ( d ) . registrant has ceased to be a holding company ...
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Términos y frases comunes
48 Stat affiliates aggregate amended amount annual report application appropriate assets authorized balance sheet broker or dealer caption cash certificates Column Commis Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents employee equity securities exemption financial statements fiscal furnished futures commission merchant holding company included income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus proxy proxy statement purchase pursuant to section quired records reference regis registration statement regulations request respect rules schedule section 12 secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified stock options suant Subpart subsidiaries surplus term thereof thereto tion trading transactions trust underwriter voting trustees
Pasajes populares
Página 110 - ... ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other 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 23 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Página 87 - Executive order to be kept secret in the interest of the national defense or foreign policy; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a...
Página 333 - ... (a) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 326 - equity security" means any stock or similar security: or any security convertible, with or without consideration, into such, a security, or carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the...
Página 374 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting, or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication...
Página 239 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary is a criminal offense.
Página 111 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Página 32 - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person.
Página 143 - 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...