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, 1967 |
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Página 9
... proposed deponent ; ( 2 ) the name and address of the person ( referred to hereinafter in this section as the " officer " ) , qualified under in this subpart to take depositions , before whom the proposed examination is to be made ; ( 3 ) ...
... proposed deponent ; ( 2 ) the name and address of the person ( referred to hereinafter in this section as the " officer " ) , qualified under in this subpart to take depositions , before whom the proposed examination is to be made ; ( 3 ) ...
Página 11
... Proposed findings of fact , conclu- sions , and orders . Within 10 days after receipt of notice that the transcript has been filed , each party may file with the hearing clerk proposed findings of fact , conclusions , and orders , based ...
... Proposed findings of fact , conclu- sions , and orders . Within 10 days after receipt of notice that the transcript has been filed , each party may file with the hearing clerk proposed findings of fact , conclusions , and orders , based ...
Página 12
... Proposed findings of fact , conclu- sions , and orders . Within 10 days after receipt of notice that the transcript has been filed , each party may file with the hearing clerk proposed findings of fact , conclusions , and orders , based ...
... Proposed findings of fact , conclu- sions , and orders . Within 10 days after receipt of notice that the transcript has been filed , each party may file with the hearing clerk proposed findings of fact , conclusions , and orders , based ...
Página 13
... proposed findings of fact , conclusions , and orders within 10 days after service of such notice . Upon the expiration of the period set for the filing of proposed findings , conclusions , and orders , the referee will prepare his ...
... proposed findings of fact , conclusions , and orders within 10 days after service of such notice . Upon the expiration of the period set for the filing of proposed findings , conclusions , and orders , the referee will prepare his ...
Página 17
... proposed final or- der . Within a reasonable period of time after the hearing , the presiding officer , assisted by such employees of the Com- modity Exchange Authority and of the Office of the Solicitor as the Act Admin- istrator and ...
... proposed final or- der . Within a reasonable period of time after the hearing , the presiding officer , assisted by such employees of the Com- modity Exchange Authority and of the Office of the Solicitor as the Act Admin- istrator and ...
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Términos y frases comunes
48 Stat affiliates aggregate amended amount application appropriate assets authorized basis broker or dealer certificate cluded Column Commis Commodity Exchange Commodity Exchange Act consolidated contract market copies curities deemed deposition director dividends documents effective date employee exemption financial statements fiscal furnished futures commission merchant hearing clerk included income income statement interest investment adviser Investment Company Act issuance issued issuer Item July 15 June 24 liabilities material ment national securities exchange number of shares offering sheet options otherwise paragraph party period person prior proceeding profit and loss proposed prospectus proxy statement purchase pursuant to section quired record reference regis registration statement request respect schedule Securities Act Securities Exchange Act security holders separately service of process sion solicitation specified suant subpart subsidiaries surplus term thereof thereto tion transactions trust underwriter unit investment trusts unless voting
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Página 20 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions...
Página 62 - ... a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or 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...
Página 193 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, (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,...
Página 223 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, 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...
Página 63 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Página 223 - 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 fiduciary capacity,...
Página 81 - 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 164 - ... (b) If the rights of holders of such stock may be modified otherwise than by a vote of a majority or more of the shares outstanding, voting as a class, so state and explain briefly. (c) Outline briefly any restriction on the repurchase or redemption of shares by the bank while there is any arrearage in the payment of dividends or sinking fund installments. If there is no such restriction, so state.
Página 131 - Notwithstanding the foregoing, the period during which a prospectus must be delivered by a dealer shall be: (1) As specified in section 4(3) of the Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide upon application or on its own motion in a particular case. (e) Nothing in this section shall affect the obligation to deliver a prospectus pursuant to the provisions of section 5 of the Act by a dealer who Is acting...
Página 158 - If the business ordinarily results in actions for negligence or other claims, no such action or claim need be described unless it departs from the normal kind of such actions. 2. No information need be given with respect to any proceeding which involves primarily a claim for damages if the amount involved, exclusive of interest and costs, does not exceed 10 percent of the current assets of the registrant and its subsidiaries on a consolidated basis.