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, 1978 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
Dentro del libro
Resultados 1-5 de 100
Página 171
... companies whose securities are regis- tered pursuant to section 12 of the Se- curities Exchange Act of 1934 , public utility holding companies , and their subsidiaries and investment compa- nies . ( c ) Regulation of the trading in secu ...
... companies whose securities are regis- tered pursuant to section 12 of the Se- curities Exchange Act of 1934 , public utility holding companies , and their subsidiaries and investment compa- nies . ( c ) Regulation of the trading in secu ...
Página 176
... companies registered under the Investment Company Act of 1940 . ( b ) All matters , except those pertain- ing to investment companies regis- tered under the Investment Company Act of 1940 , arising under the Securi- ties Exchange Act of ...
... companies registered under the Investment Company Act of 1940 . ( b ) All matters , except those pertain- ing to investment companies regis- tered under the Investment Company Act of 1940 , arising under the Securi- ties Exchange Act of ...
Página 191
... companies , to permit the summarization or omission of such balance sheet . ( 6 ) ( i ) To authorize the issuance of orders granting confidential treatment pursuant to section 45 ( a ) of the Act ( 15 U.S.C. 80a - 44 ( a ) ) where ...
... companies , to permit the summarization or omission of such balance sheet . ( 6 ) ( i ) To authorize the issuance of orders granting confidential treatment pursuant to section 45 ( a ) of the Act ( 15 U.S.C. 80a - 44 ( a ) ) where ...
Página 213
... companies , subsid- iaries , and other companies . Twelve - month statement by bank 3 ( a ) , ( d ) claiming exemption under the Act . Application for approval of mutual 13 ( b ) service company or declaration with respect to ...
... companies , subsid- iaries , and other companies . Twelve - month statement by bank 3 ( a ) , ( d ) claiming exemption under the Act . Application for approval of mutual 13 ( b ) service company or declaration with respect to ...
Página 214
... companies . Report of independent auditors ex- 17 ( f ) amining records of investment companies . Application by other than regis- 35 ( d ) trant for order of Commission de- claring corporate name of regis- trant is misleading or ...
... companies . Report of independent auditors ex- 17 ( f ) amining records of investment companies . Application by other than regis- 35 ( d ) trant for order of Commission de- claring corporate name of regis- trant is misleading or ...
Otras ediciones - Ver todas
Términos y frases comunes
48 Stat Administrative Law Judge affiliates aggregate amended amount application appropriate assets authority balance sheet broker or dealer caption certificate chapter cluding Column Commis Commission's commodity Commodity Exchange Act contract market copies corporation curities deemed Director disclosure dividends documents effective date employee erwise exemption fees filed financial statements funds furnished futures commission merchant included income statement initial decision interest investment adviser issue issuer matter ment mission national securities exchange notice notification offering sheet option otherwise paragraph party percent period person prior proceeding prospectus purchase purposes pursuant to section quired record regis registration statement Regulation relating request respect rities schedule secu Securities Act Securities Exchange Act service of process shares sion specified suant Subpart subpoena subsidiaries term thereof thereto tion trading transactions trust underwriter unless