The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1967 The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. |
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Página 36
... item 3 ( books and records ) , item 4 ( form of organization ) , item 9 ( addresses of branch offices and names of managers thereof ) , item 10 ( agents authorized to solicit or accept commod- ity futures orders for , and in the name of ...
... item 3 ( books and records ) , item 4 ( form of organization ) , item 9 ( addresses of branch offices and names of managers thereof ) , item 10 ( agents authorized to solicit or accept commod- ity futures orders for , and in the name of ...
Página 183
... item included in column Value of each item at close of E 45 period 4 6 1 The required information is to be given as to all investments which were held at any time within the period . List each major class of investments by descriptive ...
... item included in column Value of each item at close of E 45 period 4 6 1 The required information is to be given as to all investments which were held at any time within the period . List each major class of investments by descriptive ...
Página 188
... item 34 Column D Value of each item at close of period 3 5 1 ( a ) The required information is to be given as to all securities held as of the close of the period of report . Each issue shall be listed separately . ( b ) Indicate by an ...
... item 34 Column D Value of each item at close of period 3 5 1 ( a ) The required information is to be given as to all securities held as of the close of the period of report . Each issue shall be listed separately . ( b ) Indicate by an ...
Página 190
... item of real estate investments has been written down or reserved against pursuant to § 210.6-21 ( f ) , describe the item and explain the basis for the write - down or reserve . State in a footnote to column E the aggregate cost for ...
... item of real estate investments has been written down or reserved against pursuant to § 210.6-21 ( f ) , describe the item and explain the basis for the write - down or reserve . State in a footnote to column E the aggregate cost for ...
Página 257
... Item ( 6 ) to ( 10 ) inclusive and Item ( 12 ) if the securities of such other issuer were being registered on this form . Item ( 11 ) should be included if any promoter of such other issuer is a promoter , officer or director of the ...
... Item ( 6 ) to ( 10 ) inclusive and Item ( 12 ) if the securities of such other issuer were being registered on this form . Item ( 11 ) should be included if any promoter of such other issuer is a promoter , officer or director of the ...
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Términos y frases comunes
48 Stat account shall include affiliates aggregate amended amount annual report application appropriate assets associate companies balance sheet broker or dealer capital surplus caption cash certificates Column Commis Commodity Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents effective date employee equity securities exemption exhibits financial statements fiscal funds furnished futures commission merchant holding company income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus proxy proxy statement purchase pursuant to section quired records reference regis registration statement respect Schedule secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant Subpart subsidiaries surplus term thereof thereto tion trading transaction trust underwriter unless voting trustees
Pasajes populares
Página 114 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Página 320 - ... 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...
Página 115 - ... that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Página 104 - Coercion. A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.
Página 32 - The order shall be issued and served upon the parties as the final order in the proceeding without further procedure: Provided, That, if the terms of the order differ substantially from those proposed in the report of the...
Página 357 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication...
Página 334 - 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.
Página 12 - ... to the relevant pages of the transcript, and suggesting a corrected finding of fact, conclusion, or order. Within the same period of time, each party shall transmit to the hearing clerk a brief statement in writing...
Página 228 - 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 228 - 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...