The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1970 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 38
... expenses and deferred charges ; ( x ) Unsecured loans and advances to partners , officers and employees of the applicant or registrant ; ( xi ) Unsecured debit balances and unsecured deficits in accounts owned by the applicant or ...
... expenses and deferred charges ; ( x ) Unsecured loans and advances to partners , officers and employees of the applicant or registrant ; ( xi ) Unsecured debit balances and unsecured deficits in accounts owned by the applicant or ...
Página 92
... expense is to be avoided , any person who wishes to examine such a record or to obtain a copy thereof should identify the letter or other similarly filed record with particular specificity . ( 4 ) No records will be made available , and ...
... expense is to be avoided , any person who wishes to examine such a record or to obtain a copy thereof should identify the letter or other similarly filed record with particular specificity . ( 4 ) No records will be made available , and ...
Página 96
... expenses or remuneration for services rendered in connection with a proceeding in reorganization in a U.S. court involving registered hold- ing companies or subsidiaries . Application by registered holding companies and sub- 11 ( e ) ...
... expenses or remuneration for services rendered in connection with a proceeding in reorganization in a U.S. court involving registered hold- ing companies or subsidiaries . Application by registered holding companies and sub- 11 ( e ) ...
Página 97
... expenses proposed 6 ( b ) , 7 , 9 , 10 , 12 ( d ) . to be paid . Reports to stockholders by registered holding company or subsidiary thereof and annual reports submitted by registered holding company or subsidiary thereof to a State ...
... expenses proposed 6 ( b ) , 7 , 9 , 10 , 12 ( d ) . to be paid . Reports to stockholders by registered holding company or subsidiary thereof and annual reports submitted by registered holding company or subsidiary thereof to a State ...
Página 110
... expense , or any other thing of monetary value in circumstances in which acceptance may result in or create the appearance of , conflicts of interest ; or ( iv ) outside em- ployment which tends to impair the em- ployee's mental or ...
... expense , or any other thing of monetary value in circumstances in which acceptance may result in or create the appearance of , conflicts of interest ; or ( iv ) outside em- ployment which tends to impair the em- ployee's mental or ...
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Términos y frases comunes
48 Stat account shall include affiliates amended amount annual report application appropriate assets associate companies authority balance sheet broker or dealer broker-dealer caption cash certificate chapter cluded Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities 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 purchase pursuant to Rule pursuant to section quired records reference regis registered investment registration statement 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 trust underwriter unit investment trusts unless
Pasajes populares
Página 123 - 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 108 - ... 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 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 124 - ... 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 85 - 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 290 - ... (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 218 - Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide upon application or on Its own motion in a particular case. (e) Nothing in this section shall affect the obligation to deliver a prospectus pursuant to the provisions of section 5 of the Act by a dealer who is acting as an underwriter with respect to the securities involved or who is engaged in a transaction as to securities constituting the whole or a part of...
Página 142 - 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 109 - 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 29 - 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.