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 96
... indicated , the remaining provisions of this section are not made applicable to members in view of the provisions of sec- tion 4 ( a ) of the Securities Exchange Act of 1934 . ( 2 ) No employee shall accept or per- form 96 § 200.735-4 ...
... indicated , the remaining provisions of this section are not made applicable to members in view of the provisions of sec- tion 4 ( a ) of the Securities Exchange Act of 1934 . ( 2 ) No employee shall accept or per- form 96 § 200.735-4 ...
Página 123
... indicated in Article 30-3 ( b ) ( 5 ) . ( 4 ) Article 30-4 ( c ) , § 200.30-4 ( c ) of this chapter , regarding the denying of applications by brokers and dealers for time extensions for filing the reports indicated in Article 30-4 ( c ) ...
... indicated in Article 30-3 ( b ) ( 5 ) . ( 4 ) Article 30-4 ( c ) , § 200.30-4 ( c ) of this chapter , regarding the denying of applications by brokers and dealers for time extensions for filing the reports indicated in Article 30-4 ( c ) ...
Página 133
... indicated in this section unless the context otherwise requires : or ( a ) Affiliate . An " affiliate " of , or a person " affiliated " with , a specified per- son , is a person that directly , indirectly through one or more inter ...
... indicated in this section unless the context otherwise requires : or ( a ) Affiliate . An " affiliate " of , or a person " affiliated " with , a specified per- son , is a person that directly , indirectly through one or more inter ...
Página 135
... indicate their significance and character in the light of the provisions applicable thereto . ( b ) All money amounts required ... indicated in the list of financial state- ments required by the applicable form . § 210.3-04 Omission of ...
... indicate their significance and character in the light of the provisions applicable thereto . ( b ) All money amounts required ... indicated in the list of financial state- ments required by the applicable form . § 210.3-04 Omission of ...
Página 138
... indicated ; ( 3 ) the necessity for the use of different closing dates is briefly explained ; and ( 4 ) any changes in the respective fiscal periods of the registrant and the subsidiary made dur- ing the period of report are clearly in ...
... indicated ; ( 3 ) the necessity for the use of different closing dates is briefly explained ; and ( 4 ) any changes in the respective fiscal periods of the registrant and the subsidiary made dur- ing the period of report are clearly in ...
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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...