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, 1963 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 24
... associations , partnerships , corporations , and trusts . ( f ) Application of limits . The fore- going limits upon positions and upon daily trading shall be construed to apply , respectively , to positions held by , and trading done by ...
... associations , partnerships , corporations , and trusts . ( f ) Application of limits . The fore- going limits upon positions and upon daily trading shall be construed to apply , respectively , to positions held by , and trading done by ...
Página 29
... associations , partnerships , corporations , and trusts . ( Sec . 4a , 49 Stat . 1492 , as amended ; 7 U. S. C. 6a ) [ 21 F. R. 5576 , July 25 , 1956 ] 87131 O - 63-3 CHAPTER II - SECURITIES AND EXCHANGE COMMISSION Part 200 201 29 ...
... associations , partnerships , corporations , and trusts . ( Sec . 4a , 49 Stat . 1492 , as amended ; 7 U. S. C. 6a ) [ 21 F. R. 5576 , July 25 , 1956 ] 87131 O - 63-3 CHAPTER II - SECURITIES AND EXCHANGE COMMISSION Part 200 201 29 ...
Página 35
... associations of such dealers . It gives the Commission rule making power with respect to short sales , stabilizing , floor trading , activities of specialists and odd - lot dealers , and such matters as excessive trading by the exchange ...
... associations of such dealers . It gives the Commission rule making power with respect to short sales , stabilizing , floor trading , activities of specialists and odd - lot dealers , and such matters as excessive trading by the exchange ...
Página 38
... associations , brokers , dealers and investment advisers ; the institution and conduct of proceedings to revoke or deny the registration of brokers and dealers ; the prevention of fraudulent trading practices and market manipulations ...
... associations , brokers , dealers and investment advisers ; the institution and conduct of proceedings to revoke or deny the registration of brokers and dealers ; the prevention of fraudulent trading practices and market manipulations ...
Página 43
... association with any registered broker , dealer , public utility holding company , investment company or investment adviser or di- 4 The policy regarding confidential infor- mation stated in paragraphs ( a ) and ( d ) of this section is ...
... association with any registered broker , dealer , public utility holding company , investment company or investment adviser or di- 4 The policy regarding confidential infor- mation stated in paragraphs ( a ) and ( d ) of this section is ...
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Términos y frases comunes
48 Stat Added affiliates aggregate amount annual report application applying for registration assets balance sheet bank broker or dealer caption certificate CODIFICATION Column Commis Commodity Exchange Act contract market curities deemed director dividends documents effective date employees exemption Federal financial statements fiscal Form furnished futures commission merchant hearing officer included income income statement interest investment adviser Investment Company Act issued issuer Item material ment national securities exchange nonresident notification number of copies offering options otherwise pany paragraph participating partner or managing period person power of attorney principal Prior Amendments profit and loss prospectus proxy statement Public Utility Holding purchase pursuant to section record regis registration statement respect restricted stock Revised Revoked Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph subsidiaries term thereof thereto tion trading transactions underwriter
Pasajes populares
Página 64 - Witnesses summoned before the 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 57 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Página 181 - associate" used to indicate a relationship with any person, means ( 1 ) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar...
Página 118 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant personally within this State.
Página 171 - ... 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 65 - 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 79 - 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 201 - Interest of Management and Others in Certain Transactions. Describe briefly, and where practicable state the approximate amount of, any material interest, direct or indirect, of any of the following persons in any material transactions...
Página 280 - ... the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940...
Página 340 - Mines, Bureau of Monetary Offices, Treasury Department Narcotics, Bureau of National Aeronautics and Space Administration Federal Procurement Regulations System National Bureau of Standards National Labor Relations Board National Mediation Board National Park Service National Railroad Adjustment Board National...