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, 1970 |
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Página 37
... securities exchange or related clearing or- ganization , a national securities association , the U.S. Securities and Exchange Commis- sion , the securities commission or equivalent authority of any State for the regulation of brokers ...
... securities exchange or related clearing or- ganization , a national securities association , the U.S. Securities and Exchange Commis- sion , the securities commission or equivalent authority of any State for the regulation of brokers ...
Página 67
... SECURITIES AND EXCHANGE COMMISSION Part 200 201 202 203 210 211 230 231 239 240 241 249 250 251 256 Organization ; conduct and ethics ; and information and requests . Rules of practice . Informal and ... Securities and Exchange Commission.
... SECURITIES AND EXCHANGE COMMISSION Part 200 201 202 203 210 211 230 231 239 240 241 249 250 251 256 Organization ; conduct and ethics ; and information and requests . Rules of practice . Informal and ... Securities and Exchange Commission.
Página 70
... security 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 ...
... security 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 ...
Página 71
... securities listed on a na- tional securities exchange . The Act also provides for registration with the Commission and for regulation by the Commission of national securities exchanges , brokers and dealers engaged in an over - the ...
... securities listed on a na- tional securities exchange . The Act also provides for registration with the Commission and for regulation by the Commission of national securities exchanges , brokers and dealers engaged in an over - the ...
Página 74
... securities traded on national securities exchanges or offered for public sale pursuant to reg- istration or ... Exchange Act of 1934 , the Public Util- ity Holding Company Act of 1935 , the Trust Indenture Act of 1939 , and the In- vestment ...
... securities traded on national securities exchanges or offered for public sale pursuant to reg- istration or ... Exchange Act of 1934 , the Public Util- ity Holding Company Act of 1935 , the Trust Indenture Act of 1939 , and the In- vestment ...
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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 surplus caption certificate chapter cluded Column Commis Commodity Exchange Commodity Exchange Act contract market copies cost curities deemed deposit directors dividends documents effective date employee equity securities exemption expense filed pursuant financial statements fiscal funds furnished futures commission merchant income interest investment adviser issued issuer market maker ment Microphoto national securities exchange option otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy proxy statement Public Utility Holding purchase pursuant to Rule pursuant to section quired records reference regis registration statement request respect Schedule 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 unless
Pasajes populares
Página 22 - 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 120 - ... 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 119 - 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 582 - Copyright Office, Library of Congress Customs Bureau Defense Department Air Force Department Army Department Navy Department Secretary of Defense, Office of Defense Materials Service Defense Supply Agency Delaware River Basin Commission District of Columbia Redevelopment Land Agency Economic Development Administration Economic Opportunity, Office of Education, Office of Emergency Planning, Office of Employees' Compensation, Bureau of Employees...
Página 573 - ... 16 — Commercial Practices I Federal Trade Commission Title 17 — Commodity and Securities Exchanges I Commodity Exchange Authority (Including Commodity Exchange Commission) , Department of Agriculture II Securities and Exchange Commission Title 18 — Conservation of Power and Water Resources Chap.
Página 575 - B — Regulations Relating to Labor I National Labor Relations Board III National Railroad Adjustment Board IV Office of Labor-Management and Welfare-Pension Reports, Department of Labor V Wage and Hour Division, Department of Labor X National Mediation Board XII Federal Mediation and Conciliation Service XIII Bureau of Labor Standards, Department of Labor XIV Equal Employment Opportunity Commission...
Página 21 - ... 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...
Página 272 - ... (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 120 - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.
Página 578 - SUBTITLE A — Office of the Secretary of the Interior SUBTITLE B — Regulations Relating to Public Lands I Bureau of Reclamation, Department of the Interior II Bureau of Land Management, Department of the Interior Title 44— Public Property and Works III Department of State IV Business and Defense Services Administration, Department of Commerce V Library of Congress VII Department of Housing and Urban Development (Community Facilities) VIII Economic Development Administration, Department of Commerce...