The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1972 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 39
... paragraph ; ( 2 ) For all other books and records , microfilm reproductions thereof may be substituted for the hard copy for the final 3 years of the 5 - year period . ( c ) If such microfilm substitution for hard copy is made , the ...
... paragraph ; ( 2 ) For all other books and records , microfilm reproductions thereof may be substituted for the hard copy for the final 3 years of the 5 - year period . ( c ) If such microfilm substitution for hard copy is made , the ...
Página 41
... paragraph ( b ) ( 3 ) of this section , each clearing member of a contract market shall also show the floor broker or floor trader executing each transaction , the opposite floor broker or floor trader , and the op- posite clearing ...
... paragraph ( b ) ( 3 ) of this section , each clearing member of a contract market shall also show the floor broker or floor trader executing each transaction , the opposite floor broker or floor trader , and the op- posite clearing ...
Página 93
... paragraph ( c ) of this section the fol- lowing materials are published in the FEDERAL REGISTER for the guidance of ... paragraph , certain of the materials described in paragraph ( a ) of this section will be available at the public ...
... paragraph ( c ) of this section the fol- lowing materials are published in the FEDERAL REGISTER for the guidance of ... paragraph , certain of the materials described in paragraph ( a ) of this section will be available at the public ...
Página 96
... paragraph ( 1 ) of paragraph ( g ) of this section . ( f ) Administrative review- ( 1 ) Rul- ings on availability or records . Any per- son may apply for a ruling by the Public Information Officer of the Commission or his designee with ...
... paragraph ( 1 ) of paragraph ( g ) of this section . ( f ) Administrative review- ( 1 ) Rul- ings on availability or records . Any per- son may apply for a ruling by the Public Information Officer of the Commission or his designee with ...
Página 114
... paragraph ( f ) of this section • With respect to members , this paragraph supplements the statutory prohibition of outside employment contained in section 4 ( a ) of the Securities Exchange Act of 1934 , quoted in footnote 1. Except as ...
... paragraph ( f ) of this section • With respect to members , this paragraph supplements the statutory prohibition of outside employment contained in section 4 ( a ) of the Securities Exchange Act of 1934 , quoted in footnote 1. Except as ...
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Términos y frases comunes
48 Stat account shall include affiliates amended amount application appropriate assets associate companies authorized balance sheet broker or dealer broker-dealer capital capital surplus caption cash certificate chapter Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities expense filed pursuant financial statements fiscal funds furnished futures commission merchant income interest investment adviser issued issuer ment Microphoto national securities exchange option otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy proxy statement purchase pursuant to Rule pursuant to section quired records reference regis registration statement relating request respect Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph Subpart subsidiary surplus term thereof thereto tion trading transactions underwriter unless
Pasajes populares
Página 135 - 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 20 - 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 136 - ... upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Página 296 - 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 323 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity,...
Página 94 - 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 306 - ... (1) to employ any device, scheme, or artifice to defraud, (2) 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...
Página 247 - amount", when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security.
Página 352 - ... 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 with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Página 119 - 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.