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, 1987 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 62
... income and expenses . 6 yr . Reports by OTC For as long as broker- dealer is registered plus 10 yr . 10 yr . market makers ( Form X - 17A- 12 ) . Reports by third Do. market makers ( Form X - 17A- 16 ) . Reports by Do. broker - dealer ...
... income and expenses . 6 yr . Reports by OTC For as long as broker- dealer is registered plus 10 yr . 10 yr . market makers ( Form X - 17A- 12 ) . Reports by third Do. market makers ( Form X - 17A- 16 ) . Reports by Do. broker - dealer ...
Página 110
... income dividends received by per- sons subject to this Rule from securi- ties acquired prior to entrance on duty may not be reinvested but must be ac- cepted in cash if this option is avail- able . ( 1 ) No member or employee shall have ...
... income dividends received by per- sons subject to this Rule from securi- ties acquired prior to entrance on duty may not be reinvested but must be ac- cepted in cash if this option is avail- able . ( 1 ) No member or employee shall have ...
Página 111
... income , or other arrangement , as a result of any current or prior em- ployment or business or professional association ; or ( b ) with which he or she has been employed or associated in the past 5 years ; or ( c ) which was a client ...
... income , or other arrangement , as a result of any current or prior em- ployment or business or professional association ; or ( b ) with which he or she has been employed or associated in the past 5 years ; or ( c ) which was a client ...
Página 115
... income , or other arrange- ment as a result of any current or prior employment or business or pro- fessional association . ( iii ) Any financial interest through the ownership of stock , stock options , bonds , securities , or other ...
... income , or other arrange- ment as a result of any current or prior employment or business or pro- fessional association . ( iii ) Any financial interest through the ownership of stock , stock options , bonds , securities , or other ...
Página 164
... income and changes in financial posi- tion . 210.3-03 Instructions to income statement 210.04-06 Reacquired evidences of indebt- 210.4-05 Current assets and current liabil ities . requirements . 210.3-04 Changes in other stockholders ...
... income and changes in financial posi- tion . 210.3-03 Instructions to income statement 210.04-06 Reacquired evidences of indebt- 210.4-05 Current assets and current liabil ities . requirements . 210.3-04 Changes in other stockholders ...
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Términos y frases comunes
48 Stat 54 Stat 76 Stat 90 Stat accounting affiliates amended amount applicable appropriate assets balance sheet broker broker-dealer caption chapter cial clude Column Commis Commission's confidential treatment copies costs Counsel curities dealer deemed determination Director disclosed disclosure document effective date employee equity erwise exemption Federal fees filed pursuant financial statements fiscal Form hearing officer income statement initial decision interest Investment Advisers Investment Company Act issue issuer Item July 15 material mation matter ment mission offering sheet paragraph party period person preferred stock prior proceeding proposed prospectus Public Utility Holding pursuant to Rule pursuant to section quired record regis registrant's registration statement Regulation request respect rities schedule secu Securities Act Securities Exchange Act security holders Sept sion specified suant subpart subsidiaries thereof thereto tion transactions underwriter unless Utility Holding Company
Pasajes populares
Página 165 - 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 135 - ... 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 22 - For the purpose of any investigation or any other proceeding under this act, any member of the Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 109 - ... 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 339 - Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory, where the issuer of such security is a person resident and doing business within, or, if a corporation, incorporated by and doing business within, such State or Territory.
Página 135 - Objections to the competency of a witness or to the competency, relevancy, or materiality of testimony are not waived by failure to make them before or during the taking of the deposition, unless the ground of the objection is one which might have been obviated or removed if presented at that time.
Página 165 - 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 49 - ... (6) (A) Each agency, upon any request for records made under paragraph (1), (2), or (3) of this subsection, shall— (i) determine within ten days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of any such request whether to comply with such request and shall immediately notify the person making such request of such determination and the reasons therefor, and of the right of such person to appeal to the head of the agency any adverse determination...
Página 135 - ... evidence. Failure to object to questions or evidence before the officer shall not be deemed a waiver unless the ground of the objection is one which might have been obviated or removed if presented at that time. (d) Filing of depositions. The testimony shall be reduced to writing by the officer, or under his direction, after which the deposition shall be subscribed by the witness and certified in usual form by the officer. The original deposition and exhibits shall be forwarded under seal to...
Página 127 - The signature of an attorney constitutes a certificate by him that he has read the pleading; that to the best of his knowledge, information, and belief there is good ground to support it; and that it is not interposed for delay.