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48 Stat accordance action affiliate agreement amended amount annual application association authorized bank beneficial broker or dealer capital chapter Commission connection contained copies covered curities deemed derivatives document effective Exchange Act exempt Federal filed fiscal foreign Form funds furnished holding company interest investment issued issuer Item less listed material means meeting ment national securities NOTE notice officer operating option organization otherwise paragraph percent period person position principal prior proposed proxy purchase pursuant pursuant to section quotation reasonable received records reference registered Regulation relating request respect rities Rule Schedule secu securities exchange security holders shares sion solicitation specified statement subsidiary tender offer term thereof tion trading transaction transfer agent United unless written
Página 224 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant in the State of Oklahoma.
Página 30 - ... (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...
Página 30 - 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 401 - ... may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions.
Página 517 - Notes payable. This account shall include the face value of all notes, drafts, acceptances, or other similar evidences of indebtedness, payable on demand or within a time not exceeding one year from date of issue.
Página 342 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...
Página 559 - Separate account" means an account established and maintained by an insurance company pursuant to the laws of any State or territory of the United States, or of Canada or any province thereof, under which income, gains and losses, whether or not realized, from assets allocated to such account, are, in accordance with the applicable contract, credited to or charged against such account without regard to other income, gains, or losses of the insurance company.
Página 176 - ... is not reasonably within the power of such persons to ascertain or procure may be omitted, if a brief statement of the circumstances rendering such information unavailable is made.
Página 30 - 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 168 - As to any transaction involving the purchase or sale of assets by or to the bank or any subsidiary. otherwise than in the ordinary course of business, state the cost of the assets to the purchaser and the cost thereof to the seller if acquired by the seller within two years prior to the transaction.