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 66
... holders of listed se- curities in contravention of rules pre- scribed by the Commission . These rules provide for disclosures to securities holders of information relevant to the matters which are the subject of solicita- tions . The ...
... holders of listed se- curities in contravention of rules pre- scribed by the Commission . These rules provide for disclosures to securities holders of information relevant to the matters which are the subject of solicita- tions . The ...
Página 67
... holders affected . ( d ) Trust Indenture Act of 1939. This Act is designed to safeguard the interests of purchasers of publicly offered debt securities issued under trust indentures through provisions requiring in such in- dentures the ...
... holders affected . ( d ) Trust Indenture Act of 1939. This Act is designed to safeguard the interests of purchasers of publicly offered debt securities issued under trust indentures through provisions requiring in such in- dentures the ...
Página 133
... holders of equity securi- ties . The term " principal holders of equity securities " , used in respect of a particular registration statement or report , means the persons named in the item of such statement or report calling for holders ...
... holders of equity securi- ties . The term " principal holders of equity securities " , used in respect of a particular registration statement or report , means the persons named in the item of such statement or report calling for holders ...
Página 141
... holders of equity securities other than affiliates ; ( 2 ) total of current amounts due from parents and subsidiaries ; and ( 3 ) any other amounts in excess of ten percent of total current assets , indicating any such amount due from ...
... holders of equity securities other than affiliates ; ( 2 ) total of current amounts due from parents and subsidiaries ; and ( 3 ) any other amounts in excess of ten percent of total current assets , indicating any such amount due from ...
Página 144
... holders of equity securities other than affiliates . The schedule prescribed by § 210.12-03 shall be filed with respect to each person among the directors , officers and princi- pal holders of equity securities other than affiliates ...
... holders of equity securities other than affiliates . The schedule prescribed by § 210.12-03 shall be filed with respect to each person among the directors , officers and princi- pal holders of equity securities other than affiliates ...
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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...