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, 2000 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 20
... request in paper format . Five copies of every paper application and every amendment to such an application must be ... requests for exemptive relief . Each applicant shall state the basis for the relief sought , and identify the an ...
... request in paper format . Five copies of every paper application and every amendment to such an application must be ... requests for exemptive relief . Each applicant shall state the basis for the relief sought , and identify the an ...
Página 34
... request , ( iii ) he is ready , willing and able to ef- fect transactions in reasonable amounts , and at his quoted prices , with other brokers and dealers , and ( iv ) he has a reasonable average rate of inven- tory turnover in such ...
... request , ( iii ) he is ready , willing and able to ef- fect transactions in reasonable amounts , and at his quoted prices , with other brokers and dealers , and ( iv ) he has a reasonable average rate of inven- tory turnover in such ...
Página 39
... request of the Commission , file as an amendment a complete new state- ment together with all exhibits which are prescribed to be filed in connection with Form 1 . ( Secs . 5 , 6 , 17 , 48 Stat . 885 , 897 , as amended ; 15 U.S.C. 78e ...
... request of the Commission , file as an amendment a complete new state- ment together with all exhibits which are prescribed to be filed in connection with Form 1 . ( Secs . 5 , 6 , 17 , 48 Stat . 885 , 897 , as amended ; 15 U.S.C. 78e ...
Página 49
... request to such customer ) and the identity , price , and number of shares or units ( or principal amount ) of such security purchased or sold by such customer ; and ( 2 ) Whether the broker or dealer is acting as agent for such ...
... request to such customer ) and the identity , price , and number of shares or units ( or principal amount ) of such security purchased or sold by such customer ; and ( 2 ) Whether the broker or dealer is acting as agent for such ...
Página 50
... request : Provided , however , that such disclosure need not be made if the dif- ferential or fee is included in the remu- neration disclosure , or exempted from disclosure , pursuant to paragraph ( a ) ( 2 ) ( i ) ( B ) of this section ...
... request : Provided , however , that such disclosure need not be made if the dif- ferential or fee is included in the remu- neration disclosure , or exempted from disclosure , pursuant to paragraph ( a ) ( 2 ) ( i ) ( B ) of this section ...
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Términos y frases comunes
48 Stat affiliate alternative trading system amended amount annual report application bank beneficial owner bidder broker or dealer broker-dealer business days capital certificate chapter class of securities clude Commis Commission Company Act copies curities deemed disclosure document effective equity securities exempt Federal filed pursuant financial statements fiscal funds furnished graph information required Investment Company investors issued issuer istered istration listed market maker market value material means ment national securities exchange notice option OTC derivatives dealer pany penny stock percent period proxy statement purchase purposes pursuant to paragraph pursuant to section quired quotation records Regulation repurchase agreement respect rities Schedule Schedule 13D secu Securities Act securities ex Securities Exchange Act security holders securityholder service company sion solicitation specified suant subject company subordination agreement subsidiary tender offer term thereof thereunder tion trading system trans voting
Pasajes populares
Página 222 - ... 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 28 - ... (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 28 - 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 397 - ... may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions.
Página 516 - 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 338 - 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 174 - ... 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 28 - 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 166 - 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.