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. |
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Página 187
... exemption from the notice require- ments of Rule 10b - 17 ( § 240.10b - 17 of this chapter ) and to grant or deny such applications , with authority to issue orders granting and denying same , provided each applicant is ad- vised of his ...
... exemption from the notice require- ments of Rule 10b - 17 ( § 240.10b - 17 of this chapter ) and to grant or deny such applications , with authority to issue orders granting and denying same , provided each applicant is ad- vised of his ...
Página 211
... exemption from registration provisions ( 17 CFR 230.300 et seq . ) . Notifications of exemption from 3 ( b ) registration filed under Regula- tion A , E , and F ( 17 CFR 230.251 , 230.601 , 230.651 et seq . ) . Offering circulars and ...
... exemption from registration provisions ( 17 CFR 230.300 et seq . ) . Notifications of exemption from 3 ( b ) registration filed under Regula- tion A , E , and F ( 17 CFR 230.251 , 230.601 , 230.651 et seq . ) . Offering circulars and ...
Página 213
... exemption under Regulation A ( 17 CFR 230.251 et seq . ) , or being or to be otherwise offered if aggregate offering price exceeds $ 500,000 . Plans by exchanges authorizing 10 payment of special commission in connection with a ...
... exemption under Regulation A ( 17 CFR 230.251 et seq . ) , or being or to be otherwise offered if aggregate offering price exceeds $ 500,000 . Plans by exchanges authorizing 10 payment of special commission in connection with a ...
Página 218
... exemption from registration ( regula- 24- . tion A ) . Notification of exemption for assessment or assessable 94- stock ( regulation F ) . 92- ........... ........... 7 yr . 10 yr after completion or termination of offering or order ...
... exemption from registration ( regula- 24- . tion A ) . Notification of exemption for assessment or assessable 94- stock ( regulation F ) . 92- ........... ........... 7 yr . 10 yr after completion or termination of offering or order ...
Página 219
... exemption from registration as a 601 -............. ( nonbank ) clearing agency . plus 10 yr . For as long as clearing agency has a reporting requirement plus 10 yr . Applications for registration as a municipal securities 86 ...
... exemption from registration as a 601 -............. ( nonbank ) clearing agency . plus 10 yr . For as long as clearing agency has a reporting requirement plus 10 yr . Applications for registration as a municipal securities 86 ...
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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