Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and Index |
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48 Stat addition affiliates amended amount annual answer application appropriate assets associate authorized balance sheet basis broker or dealer capital caption certificates Column Commission commodity connection contained contract copies cost deemed deposited determining director documents effective employee exchange Exchange Act exemption exhibits expense filed fiscal furnished futures given hearing held holding included income indicate Instructions interest investment issued issuer Item loss material matter means ment notice offering officer options otherwise paragraph party period person position practicable principal prior proceeding proposed prospectus purchase pursuant reason received records reference registration statement regulations relating request respect rules schedule securities Securities Exchange separately shares specified subsidiaries term thereof tion trading transactions trust underwriter United unless voting
Populāri fragmenti
110. lappuse - ... ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other 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.
23. lappuse - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
87. lappuse - Executive order to be kept secret in the interest of the national defense or foreign policy; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a...
333. lappuse - ... (a) To employ any device, scheme, or artifice to defraud, (b) 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.
326. lappuse - 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...
374. lappuse - 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...
239. lappuse - 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.
111. lappuse - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
32. lappuse - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person.
143. lappuse - 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...
Bibliogrāfiskā informācija
| Nosaukums | Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and Index |
| Līdzstrādnieks | United States. Office of the Federal Register |
| Izdevējs | Division of the Federal Register, the National Archives, 1968 |
| Oriģināls no | Kalifornijas universitāte |
| Digitalizēta | 1.7.2008 |
| Eksportēt avotu | BiBTeX EndNote RefMan |