Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1964 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 66
... holders by com- panies whose securities are listed on ex- change , public utility holding companies , and their subsidiaries and investment companies . ( c ) Regulation of the trading in securities on national securities ex- changes and ...
... holders by com- panies whose securities are listed on ex- change , public utility holding companies , and their subsidiaries and investment companies . ( c ) Regulation of the trading in securities on national securities ex- changes and ...
Página 67
... holders of listed se- curities in contravention of rules pre- scribed by the Commission . These rules provide for disclosures to securities holders of information relevant to the matters which are the subject of solicita- tions . The ...
... holders of listed se- curities in contravention of rules pre- scribed by the Commission . These rules provide for disclosures to securities holders of information relevant to the matters which are the subject of solicita- tions . The ...
Página 68
... holders affected . ( d ) Trust Indenture Act of 1939. This Act is designed to safeguard the interests of purchasers of publicly offered debt securities issued under trust indentures through provisions requiring in such in- dentures the ...
... holders affected . ( d ) Trust Indenture Act of 1939. This Act is designed to safeguard the interests of purchasers of publicly offered debt securities issued under trust indentures through provisions requiring in such in- dentures the ...
Página 121
... holders of equity securities other than affiliates . 210.12-04 Investments in securities of affili- ates . Indebtedness of affiliates . 210.12-02 Marketable securities ; other se- 210.6-20 Application of §§ 210.6-20 to 210.6-24 . 210.12 ...
... holders of equity securities other than affiliates . 210.12-04 Investments in securities of affili- ates . Indebtedness of affiliates . 210.12-02 Marketable securities ; other se- 210.6-20 Application of §§ 210.6-20 to 210.6-24 . 210.12 ...
Página 123
... holders of equity securi- ties . The term " principal holders of equity securities " , used in respect of a particular registration statement or report , means the persons named in the item of such statement or report calling for holders ...
... holders of equity securi- ties . The term " principal holders of equity securities " , used in respect of a particular registration statement or report , means the persons named in the item of such statement or report calling for holders ...
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Términos y frases comunes
49 Stat account shall include affiliates amended amount annual report application appropriate assets balance sheet broker or dealer capital surplus caption cash certificate chapter Column Commis Commodity Exchange Act contract market copies corporation curities deemed deposition director dividends documents effective date employees exemption financial statements fiscal funds furnished futures commission merchant hearing clerk income interest investment adviser Investment Company Act issuance issued issuer ment national securities exchange notice officer oral hearing otherwise pany paragraph party period person prescribed prior proceeding proposed prospectus proxy proxy statement Public Utility Holding purchase pursuant to section quired record reference registration statement request respect rules and regulations schedule secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant subpart subsidiary surplus term thereof thereto tion transactions trust underwriter unit investment trusts
Pasajes populares
Página 262 - ... (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 209 - affiliate" of, or a person "affiliated" with, a specified person, Is a person that directly, or Indirectly through one or more intermediaries, controls, or is controlled by, or Is under common control with, the person specified.
Página 262 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange.
Página 20 - ... hearing, unless it appears that the absence of the witness was procured by the party offering the deposition; or (3) that the witness is unable to attend or testify because of age, sickness, infirmity or imprisonment; or (4) that the party offering the deposition...
Página 295 - No solicitation subject to §§ 240.14al to 240.14a-10 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...
Página 121 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before buying or selling the security registered. (o) The term "officer...
Página 210 - 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 121 - 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 356 - Column (B) need not be answered with respect to payments computed on an actuarial basis under any plan which provides for fixed benefits in the event of retirement at a specified age or after a specified number of years of service.
Página 78 - No commissioner shall engage in any other business, vocation, or employment than that of serving as commissioner, nor shall any commissioner participate, directly or indirectly; in any stock-market operations or transactions of a character subject to regulation by the Commission pursuant to this title.