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, 1968 |
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Página 65
... SECURITIES AND EXCHANGE COMMISSION Part 200 201 202 203 210 211 230 231 239 240 241 249 250 251 256 Organization ; conduct and ethics ; and information and requests . Rules of practice . Informal and ... Securities and Exchange Commission.
... SECURITIES AND EXCHANGE COMMISSION Part 200 201 202 203 210 211 230 231 239 240 241 249 250 251 256 Organization ; conduct and ethics ; and information and requests . Rules of practice . Informal and ... Securities and Exchange Commission.
Página 68
... securities are sold to the public . ( h ) Regulation of the purchase and sale of securities , utility properties ... Exchange Act of 1934 . This Act requires the filing of registra- tion applications and annual and other reports with national ...
... securities are sold to the public . ( h ) Regulation of the purchase and sale of securities , utility properties ... Exchange Act of 1934 . This Act requires the filing of registra- tion applications and annual and other reports with national ...
Página 72
... Exchange Act of 1934 in connection with : ( 1 ) The regisration of securities on national securities exchanges pursuant to section 12 . ( 2 ) The examination and processing of periodic reports filed pursuant to sec- tions 13 and 15 ( d ) ...
... Exchange Act of 1934 in connection with : ( 1 ) The regisration of securities on national securities exchanges pursuant to section 12 . ( 2 ) The examination and processing of periodic reports filed pursuant to sec- tions 13 and 15 ( d ) ...
Página 73
... Securities Exchange Act of 1934 and enforcement of the standards set forth in the Trust Inden- ture Act of 1939 regarding indentures covering debt securities , as listed below : ( a ) All matters relating to the Com- mission's ...
... Securities Exchange Act of 1934 and enforcement of the standards set forth in the Trust Inden- ture Act of 1939 regarding indentures covering debt securities , as listed below : ( a ) All matters relating to the Com- mission's ...
Página 76
... Securities Exchange Act of 1934 , 15 U.S.C. 78u ( b ) , and section 8 ( e ) of the Securi- ties Act of 1933 , 15 ... Securities Act of 1933 , 15 U.S.C. 77a et seq . and Regula- tion B thereunder , § 230.300 et seq . of this chapter . ( 1 ) ...
... Securities Exchange Act of 1934 , 15 U.S.C. 78u ( b ) , and section 8 ( e ) of the Securi- ties Act of 1933 , 15 ... Securities Act of 1933 , 15 U.S.C. 77a et seq . and Regula- tion B thereunder , § 230.300 et seq . of this chapter . ( 1 ) ...
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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 provisions 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 voting trustees
Pasajes populares
Página 327 - ... 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...
Página 16 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Página 118 - ... that 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 379 - ... 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 118 - 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 117 - 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 356 - 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 104 - 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 104 - Code of Ethics for Government Service". (b) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned. (c) The prohibition against lobbying with appropriated funds (18 USC 1913). (d) The prohibitions against disloyalty and striking (5 USC 7311, 18 USC 1918). (e) The prohibition against the employment of a member of a Communist organization (50 USC 784).
Página 136 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before purchasing the security registered.