Banking Regulations for Examiners |
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Contents
Part Page 312 Childrens Online Privacy Protection Rule | 5 |
Rules Implementing the CANSPAN Act of 2003 | 11 |
Statements of General Policy or Interpretation | 13 |
11 other sections not shown
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Common terms and phrases
affiliate amended amount annual report applicable associated person audit beneficial owner bidder broker or dealer broker-dealer business days capital certificate chapter class of securities clearing agency Commission consumer reporting agency copy counterparty curities deemed defined director disclose disclosure document effect electronic equity securities Exchange Act exempt financial statements fiscal foreign private issuer Form Fund furnished graph information required investment bank holding investment company listed market value means ment municipal securities national securities exchange officer options OTC derivatives dealer penny stock percent period principal Proxy Materials proxy statement purchase purposes pursuant to paragraph pursuant to section quired record Regulation repurchase agreement request required by paragraph respect risk rity Rule Schedule Schedule 13D secu securities dealer security holders self-regulatory organization sion solicitation specified suant subject company subordination agreement sumer tender offer term tion trading trans transaction