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 5
... purposes of the Regulatory Flexibility Act . 240.0-11 Filing fees for certain acquisitions , dispositions and similar transactions . DEFINITION OF " EQUITY SECURITY " AS USED IN SECTIONS 12 ( g ) AND 16 240.3a4-1 Associated persons of ...
... purposes of the Regulatory Flexibility Act . 240.0-11 Filing fees for certain acquisitions , dispositions and similar transactions . DEFINITION OF " EQUITY SECURITY " AS USED IN SECTIONS 12 ( g ) AND 16 240.3a4-1 Associated persons of ...
Página 23
... purposes only of the offer , sale or confirmation of sale of qualifying foreign futures con- tracts , be exempted from all provisions of the Act which by their terms do not apply to an " exempted security " or " exempted securities ...
... purposes only of the offer , sale or confirmation of sale of qualifying foreign futures con- tracts , be exempted from all provisions of the Act which by their terms do not apply to an " exempted security " or " exempted securities ...
Página 26
... purposes of section 3 ( a ) ( 51 ) of the Act , the term " penny stock " shall mean any equity security other than a security : ( a ) That is a reported security , as de- fined in 17 CFR 240.11Aa3-1 ( a ) of this chapter ; except that a ...
... purposes of section 3 ( a ) ( 51 ) of the Act , the term " penny stock " shall mean any equity security other than a security : ( a ) That is a reported security , as de- fined in 17 CFR 240.11Aa3-1 ( a ) of this chapter ; except that a ...
Página 27
... purposes of Section 15 ( b ) ( 6 ) of the Act ; ( f ) That is authorized , or approved for authorization upon notice of issuance , for quotation in the National Associa- tion of Securities Dealers ' Automated Quotation system ( NASDAQ ) ...
... purposes of Section 15 ( b ) ( 6 ) of the Act ; ( f ) That is authorized , or approved for authorization upon notice of issuance , for quotation in the National Associa- tion of Securities Dealers ' Automated Quotation system ( NASDAQ ) ...
Página 32
... purpose of this rule . ( d ) For purposes of this section , the term transaction - related compensation shall mean monetary profit to the bank in excess of cost recovery for pro- viding brokerage execution services . [ 50 FR 28394 ...
... purpose of this rule . ( d ) For purposes of this section , the term transaction - related compensation shall mean monetary profit to the bank in excess of cost recovery for pro- viding brokerage execution services . [ 50 FR 28394 ...
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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.