The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1967 - Administrative law 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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Page 63
CHAPTER II - SECURITIES AND EXCHANGE COMMISSION Part 200 201 202 203 210 211 230 231 239 240 241 249 250 251 256 Organization ; conduct and ethics ; and information and requests . Rules of practice ... Securities and Exchange Commission.
CHAPTER II - SECURITIES AND EXCHANGE COMMISSION Part 200 201 202 203 210 211 230 231 239 240 241 249 250 251 256 Organization ; conduct and ethics ; and information and requests . Rules of practice ... Securities and Exchange Commission.
Page 66
... securities are sold to the public . ( h ) Regulation of the purchase and sale of securities , utility properties ... Exchange Act of 1934 . This Act requires the filing of registra- tion applications and annual and other reports with national ...
... securities are sold to the public . ( h ) Regulation of the purchase and sale of securities , utility properties ... Exchange Act of 1934 . This Act requires the filing of registra- tion applications and annual and other reports with national ...
Page 70
ties Exchange Act of 1934 in connection with : ( 1 ) The regisration of securities on national securities exchanges pursuant to section 12 . ( 2 ) The examination and processing of periodic reports filed pursuant to sec- tions 13 and 15 ...
ties Exchange Act of 1934 in connection with : ( 1 ) The regisration of securities on national securities exchanges pursuant to section 12 . ( 2 ) The examination and processing of periodic reports filed pursuant to sec- tions 13 and 15 ...
Page 71
... Securities Exchange Act of 1934 and enforcement of the standards set forth in the Trust Inden- ture Act of 1939 regarding indentures covering debt securities , as listed below : ( a ) All matters relating to the Com- mission's ...
... Securities Exchange Act of 1934 and enforcement of the standards set forth in the Trust Inden- ture Act of 1939 regarding indentures covering debt securities , as listed below : ( a ) All matters relating to the Com- mission's ...
Page 74
... Securities Exchange Act of 1934 , 15 U.S.C. 78u ( b ) , and section 8 ( e ) of the Securi- ties Act of 1933 , 15 ... Securities Act of 1933 , 15 U.S.C. 77a et seq . and Regula- tion B thereunder , § 230.300 et seq . of this chapter . ( 1 ) ...
... Securities Exchange Act of 1934 , 15 U.S.C. 78u ( b ) , and section 8 ( e ) of the Securi- ties Act of 1933 , 15 ... Securities Act of 1933 , 15 U.S.C. 77a et seq . and Regula- tion B thereunder , § 230.300 et seq . of this chapter . ( 1 ) ...
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Common terms and phrases
48 Stat account shall include affiliates aggregate amended amount annual report application appropriate assets associate companies balance sheet broker or dealer capital surplus caption cash certificates Column Commis Commodity Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents effective date employee equity securities exemption exhibits financial statements fiscal funds furnished futures commission merchant holding company income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus proxy proxy statement purchase pursuant to section quired records reference regis registration statement respect Schedule secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant Subpart subsidiaries surplus term thereof thereto tion trading transaction trust underwriter unless voting trustees
Popular passages
Page 100 - ... 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.
Page 24 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions...
Page 224 - 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...
Page 101 - 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.
Page 207 - As specified in section 4(3) of the 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...
Page 133 - 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...
Page 353 - ... 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 with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Page 260 - If the business ordinarily results in actions for negligence or other claims, no such action or claim need be described unless it departs from the normal kind of such actions. 2. No information need be given with respect to any proceeding which involves primarily a claim for damages if the amount involved, exclusive of interest and costs, does not exceed 10 percent of the current assets of the registrant and its subsidiaries on a consolidated basis.
Page 461 - Include the name of each person whose interest in any transaction is described and the nature of the relationship by reason of which such interest is required to be described. Where it is not practicable to state the approximate amount of the interest, the approximate amount involved in the transaction shall be indicated.
Page 430 - As to any securities sold privately, name the persons or identify the class of persons to whom the securities were sold. (c) As to securities sold for cash, state the aggregate offering price and the aggregate underwriting discounts or commissions. As to any securities sold otherwise than for cash, state the nature of the transaction and the nature and aggregate amount of consideration received by the bank.