The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1968 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. |
Dentro del libro
Resultados 1-5 de 100
Página 65
... Company Act of 1935 , and Investment Company Act of 1940 . Interpretative releases relating to accounting matters ( accounting series releases ) . General rules and regulations , Securities Act of 1933 . Interpretative releases relating ...
... Company Act of 1935 , and Investment Company Act of 1940 . Interpretative releases relating to accounting matters ( accounting series releases ) . General rules and regulations , Securities Act of 1933 . Interpretative releases relating ...
Página 66
... Investment Company Act of 1940 . Rules and regulations , Investment Advisers Act of 1940 . Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder . Forms prescribed under the ...
... Investment Company Act of 1940 . Rules and regulations , Investment Advisers Act of 1940 . Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder . Forms prescribed under the ...
Página 69
... Company Act of 1935. This Act provides for reg- ulation by the Commission of the pur- chase and sale of securities ... Investment Company Act of 1940 . This Act provides for the registration with the Commission of investment com- panies ...
... Company Act of 1935. This Act provides for reg- ulation by the Commission of the pur- chase and sale of securities ... Investment Company Act of 1940 . This Act provides for the registration with the Commission of investment com- panies ...
Página 71
... Investment Company Act of 1940 , relating to establishing and requiring adherence to standards of economic and financial reporting and disclosure with respect to securities traded on national securities exchanges or offered for public ...
... Investment Company Act of 1940 , relating to establishing and requiring adherence to standards of economic and financial reporting and disclosure with respect to securities traded on national securities exchanges or offered for public ...
Página 72
... Company Act of 1935 . ( e ) All matters , except those pertain- ing to investment companies registered under the Investment Company Act of 1940 , arising under the Trust Indenture Act of 1939 . ( f ) All matters arising under section 30 ...
... Company Act of 1935 . ( e ) All matters , except those pertain- ing to investment companies registered under the Investment Company Act of 1940 , arising under the Trust Indenture Act of 1939 . ( f ) All matters arising under section 30 ...
Otras ediciones - Ver todas
Términos y frases comunes
48 Stat affiliates aggregate amended amount annual report application appropriate assets authorized balance sheet broker or dealer caption cash certificates Column Commis Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents employee equity securities exemption financial statements fiscal furnished futures commission merchant holding company included income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus proxy proxy statement purchase pursuant to section quired records reference regis registration statement regulations request respect rules schedule section 12 secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified stock options suant Subpart subsidiaries surplus term thereof thereto tion trading transactions trust underwriter unless voting trustees
Pasajes populares
Página 344 - 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...
Página 125 - 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 403 - ... containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Página 337 - 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 126 - 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 115 - A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public Information.
Página 22 - Such depositions may be taken before any judge of any court of the United States, or any commissioner of a circuit, or any clerk of a district or circuit court, or any chancellor, justice, or judge of a supreme or superior court, mayor or chief magistrate of a city, judge of a county court, or court of common pleas of any of the United States...
Página 359 - Control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a company, whether such power is exercised through one or more intermediary companies, or alone, or in conjunction with, or pursuant to an agreement...
Página 7 - Disqualification of presiding officer. The presiding officer may at any time withdraw as presiding officer in a proceeding if he deems himself to be disqualified. Upon the filing by an interested person in good faith of a timely and sufficient affidavit of personal bias or disqualification...
Página 88 - 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...