The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1971 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. |
No grāmatas satura
1.–5. rezultāts no 100.
91. lappuse
... broker - dealer and investment adviser applications originating in their respective regions ; and Regulation A ( 17 CFR 200.251 et seq . ) letters of notification filed in their respective regions . ( 5 ) In the New York offices of the ...
... broker - dealer and investment adviser applications originating in their respective regions ; and Regulation A ( 17 CFR 200.251 et seq . ) letters of notification filed in their respective regions . ( 5 ) In the New York offices of the ...
96. lappuse
... broker and dealer , and amendments or supplements to such application . Reports of financial condition of registered brokers and dealers . 15 ( b ) . 17 . Irrevocable appointment of agent for service of process , 23 ( a ) . pleadings ...
... broker and dealer , and amendments or supplements to such application . Reports of financial condition of registered brokers and dealers . 15 ( b ) . 17 . Irrevocable appointment of agent for service of process , 23 ( a ) . pleadings ...
97. lappuse
... broker or dealer for admission or continuance of broker or dealer as member of a national securities association , notwithstanding a disqualification under section 15A ( b ) ( 4 ) . Application for review of disciplinary action or ...
... broker or dealer for admission or continuance of broker or dealer as member of a national securities association , notwithstanding a disqualification under section 15A ( b ) ( 4 ) . Application for review of disciplinary action or ...
111. lappuse
... broker , dealer , investment ad- viser , investment company , public utility holding company or affiliate , or directly or indirectly related to the issuance , sale , purchase or investment of securities is deemed to be incompatible ...
... broker , dealer , investment ad- viser , investment company , public utility holding company or affiliate , or directly or indirectly related to the issuance , sale , purchase or investment of securities is deemed to be incompatible ...
114. lappuse
... broker , dealer or investment adviser through ownership of securities or otherwise . ( j ) No member or employee shall pur- chase any security which to his knowl- edge is involved in any pending inves- tigation by the Commission or in ...
... broker , dealer or investment adviser through ownership of securities or otherwise . ( j ) No member or employee shall pur- chase any security which to his knowl- edge is involved in any pending inves- tigation by the Commission or in ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
48 Stat account shall include affiliates amended amount annual report application appropriate assets associate companies authorized balance sheet broker or dealer broker-dealer caption cash certificate chapter cluding Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities 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 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 trust underwriter unit investment trusts unless
Populāri fragmenti
132. lappuse - ... 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.
24. 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...
244. 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...
115. lappuse - ... ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he Is serving as officer, director, trustee, partner or employee. or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
91. 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...
120. lappuse - A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public information.
337. 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...
244. 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.
344. lappuse - No solicitation subject to this regulation 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 communication...
116. 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.