Banking Regulations for Examiners, Volume 4The Comptroller, 2008 - Banking law |
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Page v
... issued regulation , has the force of law . What is a proper incorporation by reference ? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met . Some of the ...
... issued regulation , has the force of law . What is a proper incorporation by reference ? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met . Some of the ...
Page 60
... issued by the Federal Trade Commission and the banking and credit union regulators . The Federal Trade Commission's regulations will be available at www.ftc.gov/credit . F. Users Have Obligations When Disposing of Records Section 628 ...
... issued by the Federal Trade Commission and the banking and credit union regulators . The Federal Trade Commission's regulations will be available at www.ftc.gov/credit . F. Users Have Obligations When Disposing of Records Section 628 ...
Page 71
... issued pursuant to Regulation S. 240.3a5-3 Exemption from the definition of " deal- er " for banks engaging in securities lending transactions . DEFINITION OF " EQUITY SECURITY " AS USED IN SECTIONS 12 ( G ) AND 16 240.3a11-1 Definition ...
... issued pursuant to Regulation S. 240.3a5-3 Exemption from the definition of " deal- er " for banks engaging in securities lending transactions . DEFINITION OF " EQUITY SECURITY " AS USED IN SECTIONS 12 ( G ) AND 16 240.3a11-1 Definition ...
Page 78
... issued under secs . 3 and 15 , 89 Stat . 97 , as amended , 89 Stat . 121 as amended ; Section 240.3a12-8 also issued under 15 U.S.C. 78a et seq . , particularly secs . 3 ( a ) ( 12 ) , 15 U.S.C. 78c ( a ) ( 12 ) , and 23 ( a ) , 15 ...
... issued under secs . 3 and 15 , 89 Stat . 97 , as amended , 89 Stat . 121 as amended ; Section 240.3a12-8 also issued under 15 U.S.C. 78a et seq . , particularly secs . 3 ( a ) ( 12 ) , 15 U.S.C. 78c ( a ) ( 12 ) , and 23 ( a ) , 15 ...
Page 79
... issued under secs . 3 , 12 , 13 , 15 , 48 Stat . 892 , as amended , 894 , 895 , as amended ; 15 U.S.C. 78c , 781 , 78m , 780 ; Section 240.12b - 15 is also issued under secs . 3 ( a ) and 302 , Pub . L. No. 107-204 , 116 Stat . 745 ...
... issued under secs . 3 , 12 , 13 , 15 , 48 Stat . 892 , as amended , 894 , 895 , as amended ; 15 U.S.C. 78c , 781 , 78m , 780 ; Section 240.12b - 15 is also issued under secs . 3 ( a ) and 302 , Pub . L. No. 107-204 , 116 Stat . 745 ...
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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 disclosure document effect electronic equity securities Exchange Act exempt financial statements fiscal foreign private issuer Form Fund furnished government securities graph information required investment bank holding investment company issued listed market value means ment municipal securities national securities exchange 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