The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1970 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.
70. lappuse
... pany , its directors , officers , and the un- derwriters and dealers and others may be liable in damages to purchasers of registered securities if the disclosures in the registration statements and prospec- tus are materially defective ...
... pany , its directors , officers , and the un- derwriters and dealers and others may be liable in damages to purchasers of registered securities if the disclosures in the registration statements and prospec- tus are materially defective ...
75. lappuse
... pany Act of 1935 and the Investment Company Act of 1940 , and with respect to matters pertaining to investment com- panies registered under the Investment Company Act of 1940 the administra- tion and enforcement of all matters re ...
... pany Act of 1935 and the Investment Company Act of 1940 , and with respect to matters pertaining to investment com- panies registered under the Investment Company Act of 1940 the administra- tion and enforcement of all matters re ...
85. lappuse
... pany Act of 1935 , 15 U.S.C. 79a , et seq . , the Trust Indenture Act of 1939 , 15 U.S.C. 77aaa , et seq . , the Investment Company Act of 1940 , 15 U.S.C. 80a - 1 , et seq . , and the Investment Advisers Act of 1940 , 15 U.S.C. 80b - 1 ...
... pany Act of 1935 , 15 U.S.C. 79a , et seq . , the Trust Indenture Act of 1939 , 15 U.S.C. 77aaa , et seq . , the Investment Company Act of 1940 , 15 U.S.C. 80a - 1 , et seq . , and the Investment Advisers Act of 1940 , 15 U.S.C. 80b - 1 ...
97. lappuse
... pany system which is intrastate or predominantly an operating company . Applications and declarations thereto regarding sale and acquisition of assets and securities by registered hold- ing companies , subsidiaries , and certain persons ...
... pany system which is intrastate or predominantly an operating company . Applications and declarations thereto regarding sale and acquisition of assets and securities by registered hold- ing companies , subsidiaries , and certain persons ...
113. lappuse
... pany under a bonus plan . ( g ) No member or employee shall pur- chase securities of ( 1 ) any holding com- pany registered under section 5 of the Public Utility Holding Company Act of 1935 ( 15 U.S.C. 79e ) , or any subsidiary thereof ...
... pany under a bonus plan . ( g ) No member or employee shall pur- chase securities of ( 1 ) any holding com- pany registered under section 5 of the Public Utility Holding Company Act of 1935 ( 15 U.S.C. 79e ) , or any subsidiary thereof ...
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48 Stat account shall include affiliates amended amount annual report application appropriate assets associate companies authority balance sheet broker or dealer broker-dealer caption cash certificate chapter cluded 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 purchase pursuant to Rule pursuant to section quired records reference regis registered investment registration statement 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
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123. 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.
108. 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.
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...
124. 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.
85. 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...
290. 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.
218. lappuse - Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide upon application or on Its own motion in a particular case. (e) Nothing in this section shall affect the obligation to deliver a prospectus pursuant to the provisions of section 5 of the Act by a dealer who is acting as an underwriter with respect to the securities involved or who is engaged in a transaction as to securities constituting the whole or a part of...
142. 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...
109. 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.
29. lappuse - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person.