The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1988 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 63
... income 10 yr . commissions in and expenses . connection with Reports by OTC 6 yr . distributions of market makers securities on ( Form X - 17A- exchanges ( Rule 12 ) . 10b - 2 ( d ) ) . Reports by third Do. Applications for 10 yr ...
... income 10 yr . commissions in and expenses . connection with Reports by OTC 6 yr . distributions of market makers securities on ( Form X - 17A- exchanges ( Rule 12 ) . 10b - 2 ( d ) ) . Reports by third Do. Applications for 10 yr ...
Página 111
... income , or other arrangement , as a result of any current or prior em- ployment or business or professional association ; or ( b ) with which he or she has been employed or associated in the past 5 years ; or ( c ) which was a client ...
... income , or other arrangement , as a result of any current or prior em- ployment or business or professional association ; or ( b ) with which he or she has been employed or associated in the past 5 years ; or ( c ) which was a client ...
Página 116
... income , or other arrange- ment as a result of any current or prior employment or business or pro- fessional association . ( iii ) Any financial interest through the ownership of stock , stock options , bonds , securities , or other ...
... income , or other arrange- ment as a result of any current or prior employment or business or pro- fessional association . ( iii ) Any financial interest through the ownership of stock , stock options , bonds , securities , or other ...
Página 165
... income and changes in financial posi- tion . requirements . 210.3-03 Instructions to income statement 210.3-04 Changes in other stockholders ' equity . 210.3-05 Financial statements of businesses acquired or to be acquired . 210.3-06 ...
... income and changes in financial posi- tion . requirements . 210.3-03 Instructions to income statement 210.3-04 Changes in other stockholders ' equity . 210.3-05 Financial statements of businesses acquired or to be acquired . 210.3-06 ...
Página 166
... Income statements . 210.5-04 What schedules are to be filed . REGISTERED INVESTMENT COMPANIES 210.6-01 Application ... income and changes in plan equity . 210.6A - 05 What schedules are to be filed . INSURANCE COMPANIES 210.7-01 ...
... Income statements . 210.5-04 What schedules are to be filed . REGISTERED INVESTMENT COMPANIES 210.6-01 Application ... income and changes in plan equity . 210.6A - 05 What schedules are to be filed . INSURANCE COMPANIES 210.7-01 ...
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Términos y frases comunes
48 Stat 54 Stat 76 Stat 90 Stat accounting administrative affiliates amended amount applicable appropriate assets authority balance sheet broker caption chapter cial clude Commis Commission's confidential treatment copies costs Counsel curities dealer deemed determination Director disclosed disclosure document effective date employee equity erwise exemption Federal fees filed pursuant financial statements fiscal Form hearing officer Holding Company income income statement initial decision interest Investment Advisers Investment Company Act issued issuer Item July 15 material matter ment mission notice offering sheet paragraph party period person preferred stock prior proceeding prospectus Public Utility Holding pursuant to Rule pursuant to section quired records regis registrant's registration statement Regulation request respect rities schedule secu Securities Act Securities Exchange Act security holders Sept sion specified suant Subpart subsidiaries thereof thereto tion transactions underwriter unless
Pasajes populares
Página 168 - 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...
Página 137 - 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 28 - ... (b) For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 329 - ... at least 80 percent of the total combined voting power of all classes of stock entitled to vote, and at least 80 percent of the total number of shares of all other classes of stock (except nonvoting stock which is limited and preferred as to dividends...
Página 112 - ... particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
Página 46 - ... or coerce others to patronize or contribute, either to the success of private business ventures, or to charitable enterprises. He should, therefore, not enter into such private business, or pursue such a course of conduct, as would justify such suspicion, nor use the power of his office or the influence of his name to promote the business interests of others...
Página 386 - 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 128 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Página 54 - ... in the public interest because furnishing the information can be considered as primarily benefiting the general public.
Página 118 - Personnel may order immediate action to end such conflict or appearance of conflict of interest. Remedial action may include, but is not limited to (1) changes in assigned duties; (2) divestment by the employee or special Government employee of his conflicting interest; (3) disciplinary action; or (4) disqualification for a particular assignment. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive Orders, and regulations.