The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1979 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 244
... dealer whose appropriate regulatory agency is not the Commission , to notify and consult with the appropriate regula- tory agency for such clearing agency , transfer agent , or municipal securities dealer . ( 24 ) Pursuant to Section 17 ...
... dealer whose appropriate regulatory agency is not the Commission , to notify and consult with the appropriate regula- tory agency for such clearing agency , transfer agent , or municipal securities dealer . ( 24 ) Pursuant to Section 17 ...
Página 495
... dealer or other person spon- soring the communication . ( b ) If such communication contains a solicitation of inquiries and prospec- tuses for investment company securi- ties are to be sent or delivered in re- sponse to such inquiries ...
... dealer or other person spon- soring the communication . ( b ) If such communication contains a solicitation of inquiries and prospec- tuses for investment company securi- ties are to be sent or delivered in re- sponse to such inquiries ...
Página 496
... dealer is or will be a member of the underwriting syndicate or dealer group in connection with the distribu- tion of the security to which such reg- istration statement relates . ( b ) Where an issuer which meets all of the conditions ...
... dealer is or will be a member of the underwriting syndicate or dealer group in connection with the distribu- tion of the security to which such reg- istration statement relates . ( b ) Where an issuer which meets all of the conditions ...
Página 520
... dealers . ( a ) Each nonresident broker or dealer registered or applying for regis- tration pursuant to section 15 ( b ) of the Securities Exchange Act of 1934 , each nonresident general partner of a broker or dealer partnership which ...
... dealers . ( a ) Each nonresident broker or dealer registered or applying for regis- tration pursuant to section 15 ( b ) of the Securities Exchange Act of 1934 , each nonresident general partner of a broker or dealer partnership which ...
Página 521
... dealer registered at the time this sec- tion becomes effective , shall furnish such consent and power of attorney within 60 days after such date ; ( 2 ) Each broker or dealer applying for registration after the effective date of this ...
... dealer registered at the time this sec- tion becomes effective , shall furnish such consent and power of attorney within 60 days after such date ; ( 2 ) Each broker or dealer applying for registration after the effective date of this ...
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Términos y frases comunes
48 Stat action Administrative Law Judge affiliates aggregate amended amount applicant or registrant appropriate assets balance sheet broker or dealer caption cash certificate chapter clude Column Commis Commission's commodity Commodity Exchange Act commodity pool commodity trading advisor Company Act contract market copies cost curities deemed demand note Director disclosure documents employee equity exemption Federal fees financial statements fiscal futures commission merchant income income statement initial decision interest Investment Company issued issuer matter ment mission notice offering sheet option otherwise paragraph party percent period person prior procedures proceeding prospectus purchase pursuant to section quired record regis registration statement regulations request rities schedule secu Securities Act Securities Exchange Act service of process sion specified suant subordination agreement Subpart subpoena subsidiaries term thereof tion trading transactions underwriter unless
Pasajes populares
Página 105 - An official government record or any entry therein, when admissible for any purpose, may be evidenced by an official publication thereof or by a copy attested by the officer having legal custody of the record or by his deputy, accompanied by a certificate that such officer has custody. If the office in which the record is kept is within the United States the certificate may be made by a judge of a court of record in the district or political subdivision in which the record is kept, authenticated...
Página 161 - ... (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 351 - ... under common control with, the person specified. (b) Control. The term "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 331 - ... 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 611 - 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 498 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Página 330 - 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 264 - ... for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days. As used in this subparagraph, unusual circumstances...
Página 310 - ... 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 140 - That in any court of the United States and in any court established by Act of Congress, any writing or record, whether in the form of an entry in a book or otherwise, made as a memorandum or record of any act, transaction, occurrence, or event...