Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexU.S. General Services Administration, National Archives and Records Service, Office of the Federal Register, 1949 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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49 Stat account shall include added by sec affiliates amended amount fixed application assets balance sheet broker or dealer capital surplus caption cash certificates clearing members Column Commis Commodity Exchange Act Commodity Exchange Authority Company Act contract market copies cost curities customers deemed deposition director dividends effective date employees exemption expense filed financial statements fixed for reporting funds furnished futures commission merchant hearing clerk holding company income interest investment companies issued issuer liabilities ment national securities exchange notice officer oral hearing otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy proxy statement purchase pursuant to section quired record referee reference registration statement reports on Form request respect schedule section 12 Securities Exchange Act security holders shown sion solicitation specified suant subsidiary surplus term thereof thereto tion trading transactions trust underwriter unit investment trusts unless
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27. lappuse - Witnesses summoned before the 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.
122. 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.
129. lappuse - control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, 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, or otherwise.
12. lappuse - Such depositions may be taken before any judge of any court of the United States, or any commissioner of a circuit, or any clerk of a district or circuit court, or any chancellor, justice, or judge of a supreme or superior court, mayor or chief magistrate of a city, judge of a county court, or court of common pleas of any of the United States...
361. lappuse - ... or coerce others to patronize or contribute, either to the success of private business ventures, or to charitable enterprises. He should, therefore, not enter into such private business, or pursue such a course of conduct, as would justify such suspicion, nor use the power of his office or the influence of his name to promote the business interests of others...
31. lappuse - Commission, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, Sunday, or a legal holiday in the District of Columbia, in which event the period runs until the end of the next day which is neither a Saturday, Sunday nor a holiday.
32. lappuse - No solicitation subject to S§ 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...
20. lappuse - ... associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the issuer or a majority-owned subsidiary of the issuer) 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, and...
7. lappuse - Disqualification of presiding officer. The presiding officer may at any time withdraw as presiding officer in a proceeding if he deems himself to be disqualified. Upon the filing by an interested person in good faith of a timely and sufficient affidavit of personal bias or disqualification...
23. lappuse - floor broker' shall mean any person who, in or surrounding any 'pit', 'ring', 'post', or other place provided by a contract market for the meeting of persons similarly engaged...