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, 1996 |
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Página 14
... Commission pursuant to the act , including the forms for registra- tion and reports and the accompanying instructions thereto . ( 5 ) The term electronic filer means a person or an entity that submits filings electronically pursuant to ...
... Commission pursuant to the act , including the forms for registra- tion and reports and the accompanying instructions thereto . ( 5 ) The term electronic filer means a person or an entity that submits filings electronically pursuant to ...
Página 15
... Commission available to anyone other than a member , officer or employee of the Commission , unless the Commission or the General Coun- sel , pursuant to delegated authority , authorizes the disclosure of such infor- mation or the ...
... Commission available to anyone other than a member , officer or employee of the Commission , unless the Commission or the General Coun- sel , pursuant to delegated authority , authorizes the disclosure of such infor- mation or the ...
Página 16
... Commission and to obtain and submit to the Commission , at the time of fil- ing such documents or information , or in lieu thereof , as the case may be , the statements from such department or agency required by paragraph ( b ) of this ...
... Commission and to obtain and submit to the Commission , at the time of fil- ing such documents or information , or in lieu thereof , as the case may be , the statements from such department or agency required by paragraph ( b ) of this ...
Página 24
... Commission . ( a ) A futures commission merchant registered with the Commodity Fu- tures Trading Commission ( " CFTC " ) is not a government securities broker or government securities dealer solely be- cause such futures commission mer ...
... Commission . ( a ) A futures commission merchant registered with the Commodity Fu- tures Trading Commission ( " CFTC " ) is not a government securities broker or government securities dealer solely be- cause such futures commission mer ...
Página 25
... commission merchant and charged to its customer ) do not exceed 2 % of such futures commission mer- chant's total commission revenues ; ( 3 ) Exchange of futures for physicals transactions as agent for or as prin- cipal with a customer ...
... commission merchant and charged to its customer ) do not exceed 2 % of such futures commission mer- chant's total commission revenues ; ( 3 ) Exchange of futures for physicals transactions as agent for or as prin- cipal with a customer ...
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Términos y frases comunes
48 Stat affiliate agreement amended amount annual report application assets association bank beneficial owner bidder broker or dealer business days chapter class of securities cluding Commis Commission Company Act contract copies curities deemed directors disclosure document effective equity securities exempt Federal filed pursuant financial statements fiscal furnished graph holding company investment company issued issuer istered Item market maker market value material means ment municipal securities NASDAQ national securities exchange option pany penny stock percent period person principal prior proxy statement purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quired quotation record repurchase agreement respect rities Schedule Schedule 13D secu Securities Act securities dealer securities ex Securities Exchange Act security holders separate account sion solicitation specified suant subject company subordination agreement subsidiary tender offer term thereof thereto thereunder tion trading trans transaction underwriter
Pasajes populares
Página 90 - control" (including the terms "controlling," "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract, or otherwise.
Página 51 - ... 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...
Página 264 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Página 42 - 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) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 133 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary Is a criminal offense.
Página 90 - affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. Amount. The term "amount...
Página 143 - Item 2. Identity and Background State the following with respect to the person filing this statement : (a) Name and business address; (b) Residence address ; (c) Present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is carried on...
Página 336 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant in the State of Oklahoma.
Página 20 - equity security" means any stock or similar security: or any security convertible, with or without consideration, into such, a security, or carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the...
Página 129 - Is to be omitted. The answers to the items shall be so prepared as to Indicate clearly the coverage of the items without referring to the text of the items. Answer every Item. If an Item Is Inapplicable or the answer Is in the negative so state.