The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1995 - 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 22
... offering within shorter periods of time than 10 days after the filing of the offering sheet , pursuant to Rule 310 ( a ) thereunder ( § 230.310 ( a ) of this chapter ) ; ( 2 ) To authorize the issuance of or- ders temporarily suspending ...
... offering within shorter periods of time than 10 days after the filing of the offering sheet , pursuant to Rule 310 ( a ) thereunder ( § 230.310 ( a ) of this chapter ) ; ( 2 ) To authorize the issuance of or- ders temporarily suspending ...
Page 61
... offering ( Regulation B ) ( 17 CFR 230.300 et seq . ) . Offering sheets for oil or gas rights and 3 ( b ) royalties under Regulation B for exemp- tion from registration provisions ( 17 CFR 230.300 et seq . ) . Notifications of exemption ...
... offering ( Regulation B ) ( 17 CFR 230.300 et seq . ) . Offering sheets for oil or gas rights and 3 ( b ) royalties under Regulation B for exemp- tion from registration provisions ( 17 CFR 230.300 et seq . ) . Notifications of exemption ...
Page 62
... offering of securities reg- istered or to be registered under the Se- curities Act of 1933 , or offered or to be offered pursuant to an exemption under Regulation A ( 17 CFR 230.251 et seq . ) , or being or to be otherwise offered if ag ...
... offering of securities reg- istered or to be registered under the Se- curities Act of 1933 , or offered or to be offered pursuant to an exemption under Regulation A ( 17 CFR 230.251 et seq . ) , or being or to be otherwise offered if ag ...
Page 271
... offering of securi- ties , public float shall be computed on the basis of the number of shares outstanding prior to the offering and the estimated pub- lic offering price of the securities . ( 2 ) Entering and Exiting the Small Busi ...
... offering of securi- ties , public float shall be computed on the basis of the number of shares outstanding prior to the offering and the estimated pub- lic offering price of the securities . ( 2 ) Entering and Exiting the Small Busi ...
Page 300
... offering will end ; any minimum purchase requirement and any arrange- ments to place funds in an escrow , trust , or similar account . If there is an over - allotment option , the maximum- minimum information must be based on the ...
... offering will end ; any minimum purchase requirement and any arrange- ments to place funds in an escrow , trust , or similar account . If there is an over - allotment option , the maximum- minimum information must be based on the ...
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Common terms and phrases
48 Stat 54 Stat 90 Stat affiliates agency amount applicable assets balance sheet broker cash chapter cial cluded column Commis Commission Commission's copies costs Counsel curities dealer debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees Financial Data Schedule financial statements fiscal Form Holding Company income income statement information speci interest Investment Company Act investors issue istered istrant istration statement Item material mation ment offering sheet operations otherwise paragraph participation payment period person preferred stock prior proceeding prospectus purchase pursuant to Rule pursuant to section quired records registrant's registration statement Regulation request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof tion underwriter unit investment trust
Popular passages
Page 156 - 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 121 - Witnesses summoned before the 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.
Page 29 - ... (b) For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Page 372 - ... at least 80 percent of the total combined voting power of all classes of stock entitled to vote, and at least 80 percent of the total number of shares of all other classes of stock (except nonvoting stock which is limited and preferred as to dividends...
Page 451 - ... 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.
Page 111 - ... 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 121 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Page 87 - ... (7) Investigatory records compiled for law enforcement purposes but only to the extent that the production of such records would (A) interfere with enforcement proceedings, (B) deprive a person of a right to a fair trial or an impartial adjudication, (C) constitute an unwarranted invasion of personal privacy, (D) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency...
Page 50 - Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.
Page 56 - ... in the public interest because furnishing the information can be considered as primarily benefiting the general public.