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, 2002 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.
14. lappuse
... unless other- wise noted . EDITORIAL NOTE : For nomenclature changes to this part see 57 FR 36501 , Aug. 13 , 1992 , and 57 FR 47409 , Oct. 16 , 1992 . NOTE : In §§ 240.0-1 to 240.24b - 3 , the numbers to the right of the decimal point ...
... unless other- wise noted . EDITORIAL NOTE : For nomenclature changes to this part see 57 FR 36501 , Aug. 13 , 1992 , and 57 FR 47409 , Oct. 16 , 1992 . NOTE : In §§ 240.0-1 to 240.24b - 3 , the numbers to the right of the decimal point ...
16. lappuse
... unless made a matter of public record , be deemed confidential . Except as pro- vided by 17 CFR 203.2 , officers and em- ployees are hereby prohibited from making such confidential information or documents or any other non - public ...
... unless made a matter of public record , be deemed confidential . Except as pro- vided by 17 CFR 203.2 , officers and em- ployees are hereby prohibited from making such confidential information or documents or any other non - public ...
42. lappuse
... unless such employees are qualified as registered representatives pursuant to the requirements of the self - regulatory organizations ; ( iii ) Bank employees do not receive , directly or indirectly , compensation for any brokerage ...
... unless such employees are qualified as registered representatives pursuant to the requirements of the self - regulatory organizations ; ( iii ) Bank employees do not receive , directly or indirectly , compensation for any brokerage ...
54. lappuse
... unless the agree- ment required by paragraph ( g ) ( 1 ) of this section and the safeguards and provisions required by paragraph ( g ) ( 2 ) of this section shall have been deemed adequate by the Commission for the protection of ...
... unless the agree- ment required by paragraph ( g ) ( 1 ) of this section and the safeguards and provisions required by paragraph ( g ) ( 2 ) of this section shall have been deemed adequate by the Commission for the protection of ...
55. lappuse
... unless the options class to which such document relates is the subject of an effective registration statement on Form S - 20 under the Securities Act . ( 2 ) ( i ) If the information contained in the options disclosure document be ...
... unless the options class to which such document relates is the subject of an effective registration statement on Form S - 20 under the Securities Act . ( 2 ) ( i ) If the information contained in the options disclosure document be ...
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48 Stat affiliate alternative trading system amended amount annual report application associated person bank beneficial owner bidder broker or dealer broker-dealer business days capital chapter class of securities clude Commis Commission copy curities deemed director disclose disclosure document effective equity securities exempt Federal financial statements fiscal funds furnished graph holding company information required investors issuer istered istration listed market maker market value material means ment municipal securities national securities exchange notice option OTC derivatives dealer pany penny stock percent period proxy statement purchase purposes pursuant to paragraph pursuant to section quired quotation records Regulation request required by paragraph respect rities Rule Schedule Schedule 13D secu securities dealer securities ex Securities Exchange Act security holders sion solicitation specified suant subject company subordination agreement subsidiary tender offer term thereof tion trading system trans
Populāri fragmenti
60. 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.
295. lappuse - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
27. 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...
308. lappuse - ... acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions, and which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.
222. lappuse - ... 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 (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a director or officer of the registrant or any of its parents or subsidiaries.
60. 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.
107. 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.
227. 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...
196. lappuse - If so, identify the principals, the subject matter and your relationship to the parties and the outcome. (d) State whether or not, during the past ten years, you have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give dates, nature of conviction, name and location of court, and penalty imposed or other disposition of the case. A negative answer to this sub-item need not be included in the proxy statement or other proxy soliciting material.
146. lappuse - If such information is incorporated by reference in this schedule, copies of the relevant pages of such form shall be filed as an exhibit to this schedule. C. The item numbers and captions of the items shall be included but the text of the items is to be omitted. The answers to the items shall be so prepared as to indicate clearly the coverage of the items without referring to the text of the items. Answer every item. If an item is inapplicable or the answer is in the negative, so state. Item...