Citi izdevumi - Skatīt visu
account of customers aggregate indebtedness amendment amount annual report application for registration application or report appropriate beneficial owner broker or dealer certificate consent and power deemed device or contrivance directly or indirectly director or officer document effective date equity security exempt security Exemption From Section exhibits Federal Reserve System filed pursuant financial statements form of proxy hypothecation incorporated by reference investment adviser issuance issuer lien or claim listed and registered loan managing agent material means ment national securities exchange operation of section period person pledgee power of attorney proxy statement purchase or sale pursuant to Rule pursuant to section registered or applying registration statement report pursuant rules and regulations section 12 Securities Act securities carried Securities Exchange Act security exempted security holders Service of Process solicitation specified stabilizing suant subsidiary term manipulative thereto tion transaction unless unlisted trading privileges vote
3. lappuse - Secretary 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 Kentucky.
80. lappuse - manipulative, deceptive, or other fraudulent device or contrivance", as used in section 15 (c) (1) of the act, Is hereby defined to Include any...
28. 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. "(f) Control. The term 'control' (including the terms 'controlling,
3. lappuse - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
18. 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...
27. lappuse - Act, except to such extent and subject to such terms and conditions as the Commission, having due regard for the public interest and the protection of investors, may prescribe by rules or regulations with respect to any class of persons, securities, or transactions...
31. lappuse - In the case of shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or noncumulative; a brief indication of the preference, if any; and if convertible, a statement to that effect.
72. lappuse - As to each class of securities of the bank, or of any person specified in paragraph (b), which is admitted to dealing on a national securities exchange or with respect to which a market otherwise exists, and which will be materially affected by the plan, state the high and low sale prices (or, in the absence of trading in a particular period, the range of the bid and asked prices) for each quarterly period within two years. This information may be omitted if the plan involves merely the voluntary...