The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1976 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.
111. lappuse
... exemptions from , and exten- sion of time within which to file , reports required by Rule 17a - 5 ( § 240.17a - 5 of ... exemption from the notice requirements of Rule 10b - 17 111 Chapter II - Securities and Exchange Commission $ 200.30-3.
... exemptions from , and exten- sion of time within which to file , reports required by Rule 17a - 5 ( § 240.17a - 5 of ... exemption from the notice requirements of Rule 10b - 17 111 Chapter II - Securities and Exchange Commission $ 200.30-3.
112. lappuse
exemption from the notice requirements of Rule 10b - 17 ( § 240.10b - 17 of this chap- ter ) and to grant or deny ... exemptions from any of the requirements of Rule 17a - 20 ( § 240.17a - 20 of this chapter ) , or Form X - 17A - 20 ...
exemption from the notice requirements of Rule 10b - 17 ( § 240.10b - 17 of this chap- ter ) and to grant or deny ... exemptions from any of the requirements of Rule 17a - 20 ( § 240.17a - 20 of this chapter ) , or Form X - 17A - 20 ...
129. lappuse
... exemption from registration filed under Regulation A , E , and F [ 17 CFR 230.251 , 230.601 , 230.651 et seq . ] . 3 ... Exemption from section 12 ( g ) , 13 , 14 , 15 , or 16 ------ Information by a foreign issuer temporarily exempt ...
... exemption from registration filed under Regulation A , E , and F [ 17 CFR 230.251 , 230.601 , 230.651 et seq . ] . 3 ... Exemption from section 12 ( g ) , 13 , 14 , 15 , or 16 ------ Information by a foreign issuer temporarily exempt ...
130. lappuse
... exemption 6 ( a ) . from registration as a national securities exchange . Annual amendments and supplemental material filled to keep reasonably current the information contained in applications for registration or exemption . 6 ( e ) ...
... exemption 6 ( a ) . from registration as a national securities exchange . Annual amendments and supplemental material filled to keep reasonably current the information contained in applications for registration or exemption . 6 ( e ) ...
131. lappuse
... exemption from provisions of the Act and applications for declaratory orders regarding status of company under Act by holding companies , subsid- laries , and other companies . ( a ) ( 3 ) , 2 ( a ) ( 4 ) , 2 ( a ) ( 7 ) ( B ) , 2 ( a ) ...
... exemption from provisions of the Act and applications for declaratory orders regarding status of company under Act by holding companies , subsid- laries , and other companies . ( a ) ( 3 ) , 2 ( a ) ( 4 ) , 2 ( a ) ( 7 ) ( B ) , 2 ( a ) ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
48 Stat Administrative Law Judge affiliates aggregate amended amount application appropriate assets association balance sheet broker or dealer capital caption certificate chapter Column Commis Commission's commodity consolidated contract market copies curities deemed demand note directors dividends documents effective date employee equity securities exemption fees filed financial statements fiscal furnished futures commission merchant hearing officer included income income statement initial decision interest issued issuer market maker material ment mission national securities exchange notice offering sheet option otherwise paragraph participation party percent period person prior proceeding prospectus proxy purchase pursuant to section record registration statement Regulation request respect rities schedule secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant subordination agreement subparagraph Subpart subsidiaries term thereof thereto tion trading transactions underwriter unless
Populāri fragmenti
62. lappuse - Parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of any discoverable matter.
80. 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.
39. lappuse - All objections made at the time of the examination to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the officer upon the deposition. Evidence objected to shall be taken subject to the objections.
174. lappuse - ... 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.
174. lappuse - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.
338. lappuse - ... any note, draft, bill of exchange, or banker's acceptance 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.
409. 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...
63. lappuse - ... of the truth of any matters within the scope of Rule 26(b) set forth in the request that relate to statements or opinions of fact or of the application of law to fact, including the genuineness of any documents described in the request.
502. 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.
324. 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...