Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1996 - Administrative law |
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Common terms and phrases
48 Stat affiliate agreement amended amount annual report application assets association bank beneficial owner bidder broker or dealer business days chapter class of securities cluding Commis Commission Company Act contract copies curities deemed directors disclosure document effective equity securities exempt Federal filed pursuant financial statements fiscal furnished graph holding company investment company issued issuer istered Item market maker market value material means ment municipal securities NASDAQ national securities exchange option pany penny stock percent period person principal prior proxy statement purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quired quotation record repurchase agreement respect rities Schedule Schedule 13D secu Securities Act securities dealer securities ex Securities Exchange Act security holders separate account sion solicitation specified suant subject company subordination agreement subsidiary tender offer term thereof thereto thereunder tion trading trans transaction underwriter
Popular passages
Page 90 - 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, or otherwise.
Page 51 - ... 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...
Page 264 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Page 42 - 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.
Page 133 - 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.
Page 90 - 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. Amount. The term "amount...
Page 143 - Item 2. Identity and Background State the following with respect to the person filing this statement : (a) Name and business address; (b) Residence address ; (c) Present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is carried on...
Page 336 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant in the State of Oklahoma.
Page 20 - 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...
Page 129 - Is to be omitted. The answers to the items shall be so prepared as to Indicate clearly the coverage of the items without referring to the text of the items. Answer every Item. If an Item Is Inapplicable or the answer Is in the negative so state.