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 68
... Securities Act of 1933. ( 1 ) Issuers of securities making public offerings for sale in interstate commerce or through the mails , directly or by others on their behalf , are required to file with the Com- mission registration ...
... Securities Act of 1933. ( 1 ) Issuers of securities making public offerings for sale in interstate commerce or through the mails , directly or by others on their behalf , are required to file with the Com- mission registration ...
Página 72
... 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 ) . ( 3 ) The examination and processing of proxy soliciting ...
... 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 ) . ( 3 ) The examination and processing of proxy soliciting ...
Página 92
... SECURITIES EXCHANGE ACT OF 1984 - Continued Description Information by a foreign issuer temporarily exempt from Pursuant to section 12 ( g ) ( 3 ) . section 12 ( g ) . Certification of exchange approving securities for listing 12 ( d ) ...
... SECURITIES EXCHANGE ACT OF 1984 - Continued Description Information by a foreign issuer temporarily exempt from Pursuant to section 12 ( g ) ( 3 ) . section 12 ( g ) . Certification of exchange approving securities for listing 12 ( d ) ...
Página 97
... Securities Act of 1933 . Securities Exchange Amended . Act of 1934 , as General Rules and Regulations Under the Securities Exchange Act of 1934 . Public Utility Holding Company Act of 1935 . General Rules and Regulations Under the ...
... Securities Act of 1933 . Securities Exchange Amended . Act of 1934 , as General Rules and Regulations Under the Securities Exchange Act of 1934 . Public Utility Holding Company Act of 1935 . General Rules and Regulations Under the ...
Página 110
... securities issued by any investment company prima facie subject to the jurisdiction of the Commission under the provisions of the Investment Company Act of 1940 ( 15 U.S.C. 80a et seq . ) . Capital or income dividends re- ceived from ...
... securities issued by any investment company prima facie subject to the jurisdiction of the Commission under the provisions of the Investment Company Act of 1940 ( 15 U.S.C. 80a et seq . ) . Capital or income dividends re- ceived from ...
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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.