The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1972 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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1.–5. rezultāts no 100.
38. lappuse
... investment of customers ' funds . The investment of customers ' funds in obligations described in § 1.25 , shall not operate to prevent the futures commis- sion merchant or clearing organization so investing such funds from receiving ...
... investment of customers ' funds . The investment of customers ' funds in obligations described in § 1.25 , shall not operate to prevent the futures commis- sion merchant or clearing organization so investing such funds from receiving ...
66. lappuse
... Investment Company Act of 1940 . Rules and regulations , Investment Advisers Act of 1940 . Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder . Forms prescribed under the ...
... Investment Company Act of 1940 . Rules and regulations , Investment Advisers Act of 1940 . Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder . Forms prescribed under the ...
72. lappuse
... investment companies registered under the Investment Company Act of 1940 . ( b ) All matters , except those pertain- ing to investment companies registered under the Investment Company Act of 1940 , arising under the Securities Ex ...
... investment companies registered under the Investment Company Act of 1940 . ( b ) All matters , except those pertain- ing to investment companies registered under the Investment Company Act of 1940 , arising under the Securities Ex ...
73. lappuse
... investment com- panies registered under the Investment Company Act of 1940 the administra- tion and enforcement of all matters re- lating to establishing and requiring ad- herence to standards of economic and financial reporting and the ...
... investment com- panies registered under the Investment Company Act of 1940 the administra- tion and enforcement of all matters re- lating to establishing and requiring ad- herence to standards of economic and financial reporting and the ...
80. lappuse
... investment adviser of such investment company and , if the investment adviser is primarily engaged in a business other than the underwrit- ing or distribution of investment com- pany securities or the performance of advisory services ...
... investment adviser of such investment company and , if the investment adviser is primarily engaged in a business other than the underwrit- ing or distribution of investment com- pany securities or the performance of advisory services ...
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48 Stat account shall include affiliates amended amount application appropriate assets associate companies authorized balance sheet broker or dealer broker-dealer capital capital surplus caption cash certificate chapter Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities expense filed pursuant financial statements fiscal funds furnished futures commission merchant income interest investment adviser issued issuer ment Microphoto national securities exchange option otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy proxy statement purchase pursuant to Rule pursuant to section quired records reference regis registration statement relating request respect Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph Subpart subsidiary surplus term thereof thereto tion trading transactions underwriter unless
Populāri fragmenti
135. lappuse - 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.
20. 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...
136. lappuse - ... upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
296. 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...
323. lappuse - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity,...
94. 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...
306. lappuse - ... (1) to employ any device, scheme, or artifice to defraud, (2) 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...
247. lappuse - amount", when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security.
352. lappuse - ... 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 with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
119. 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.