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 172
... registration statement may be refused or suspend- ed after a hearing if the statement contains material misstatements omissions , thus barring sale of the se- curities until it is is appropriately amended . Registration is not a finding ...
... registration statement may be refused or suspend- ed after a hearing if the statement contains material misstatements omissions , thus barring sale of the se- curities until it is is appropriately amended . Registration is not a finding ...
Página 253
... registration statement or letter of notification is pending or during the first sixty days after its ef- fective date . This prohibition applies even though the registration state- ment or Regulation A filing covers a so - called ...
... registration statement or letter of notification is pending or during the first sixty days after its ef- fective date . This prohibition applies even though the registration state- ment or Regulation A filing covers a so - called ...
Página 321
... statements included in a registration statement or periodic report filed by a company in the devel- opment stage shall include additional information , as follows : ( 1 ) In a balance sheet , include any cumulative net losses reported ...
... statements included in a registration statement or periodic report filed by a company in the devel- opment stage shall include additional information , as follows : ( 1 ) In a balance sheet , include any cumulative net losses reported ...
Página 384
... Statement of the Commission in regard to the wide vari- ation of certificates used by independent accountants in their registration statements concerning verification of in- ventories ( income statements ) of prior years in first audits ...
... Statement of the Commission in regard to the wide vari- ation of certificates used by independent accountants in their registration statements concerning verification of in- ventories ( income statements ) of prior years in first audits ...
Página 386
... statement por- tions of : ( a ) Registration statements under the Securities Act of 1933 ( Part 239 of this chapter ) to the extent provided in the forms to be used for registration under this Act ; and ( b ) Registration statements ...
... statement por- tions of : ( a ) Registration statements under the Securities Act of 1933 ( Part 239 of this chapter ) to the extent provided in the forms to be used for registration under this Act ; and ( b ) Registration statements ...
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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