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, 1964 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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1.–5. rezultāts no 100.
33. lappuse
... Registration required of futures com- mission merchants . Registration required of floor brokers . Registration as floor broker not in- cluded in registration as futures commission merchant and vice versa . 1.10 Applications for ...
... Registration required of futures com- mission merchants . Registration required of floor brokers . Registration as floor broker not in- cluded in registration as futures commission merchant and vice versa . 1.10 Applications for ...
36. lappuse
... registration as futures commission merchant under the Commodity Exchange Act issued by the Secretary of Agriculture and counter- signed by the Act Administrator and such registration shall not have expired , been suspended , or been ...
... registration as futures commission merchant under the Commodity Exchange Act issued by the Secretary of Agriculture and counter- signed by the Act Administrator and such registration shall not have expired , been suspended , or been ...
37. lappuse
... registration certificate . Every person registered as futures commission merchant under the act shall : ( a ) Post in a conspicuous place in each office in the United States ( except an office of another registered futures commission ...
... registration certificate . Every person registered as futures commission merchant under the act shall : ( a ) Post in a conspicuous place in each office in the United States ( except an office of another registered futures commission ...
67. lappuse
... registration statement may be refused or suspended after a hearing if the statement contains mate- rial misstatements or omissions , thus barring sale of the securities until it is appropriately amended . Registration is not a finding ...
... registration statement may be refused or suspended after a hearing if the statement contains mate- rial misstatements or omissions , thus barring sale of the securities until it is appropriately amended . Registration is not a finding ...
70. lappuse
... registration or exemptive regu- lations , establishing and requiring ad- herence to standards of fair disclosure in the solicitation of proxies for election of directors and other corporate actions , enforcement of the standards set ...
... registration or exemptive regu- lations , establishing and requiring ad- herence to standards of fair disclosure in the solicitation of proxies for election of directors and other corporate actions , enforcement of the standards set ...
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49 Stat account shall include affiliates amended amount annual report application appropriate assets balance sheet broker or dealer capital surplus caption cash certificate chapter Column Commis Commodity Exchange Act contract market copies corporation curities deemed deposition director dividends documents effective date employees exemption financial statements fiscal funds furnished futures commission merchant hearing clerk income interest investment adviser Investment Company Act issuance issued issuer ment national securities exchange notice officer oral hearing otherwise pany paragraph party period person prescribed prior proceeding proposed prospectus proxy proxy statement Public Utility Holding purchase pursuant to section quired record reference registration statement request respect rules and regulations schedule secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant subpart subsidiary surplus term thereof thereto tion transactions trust underwriter unit investment trusts
Populāri fragmenti
262. 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.
209. lappuse - 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.
262. lappuse - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange.
20. lappuse - ... hearing, unless it appears that the absence of the witness was procured by the party offering the deposition; or (3) that the witness is unable to attend or testify because of age, sickness, infirmity or imprisonment; or (4) that the party offering the deposition...
295. lappuse - No solicitation subject to §§ 240.14al to 240.14a-10 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...
121. lappuse - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before buying or selling the security registered. (o) The term "officer...
210. 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...
121. 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...
356. lappuse - Column (B) need not be answered with respect to payments computed on an actuarial basis under any plan which provides for fixed benefits in the event of retirement at a specified age or after a specified number of years of service.
78. lappuse - No commissioner shall engage in any other business, vocation, or employment than that of serving as commissioner, nor shall any commissioner participate, directly or indirectly; in any stock-market operations or transactions of a character subject to regulation by the Commission pursuant to this title.