The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1968 - 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. |
From inside the book
Results 1-5 of 100
Page 38
... Interest of futures commission merchant in segregated funds , addi- tions and withdrawals . The prohibition in section 4d ( 2 ) of the Commodity Exchange Act ( 49 Stat . 1494 ; 7 U.S.C. 6d ) against commingling cus- tomers ' funds with ...
... Interest of futures commission merchant in segregated funds , addi- tions and withdrawals . The prohibition in section 4d ( 2 ) of the Commodity Exchange Act ( 49 Stat . 1494 ; 7 U.S.C. 6d ) against commingling cus- tomers ' funds with ...
Page 49
... Interest in or control of several accounts . If any person holds or has a financial interest in or controls more than one account , all such accounts shall be considered by the futures commission merchant or foreign broker as a single ...
... Interest in or control of several accounts . If any person holds or has a financial interest in or controls more than one account , all such accounts shall be considered by the futures commission merchant or foreign broker as a single ...
Page 78
... interest or the interest of inves- tors or consumers that a hearing be held ; section 20 ( c ) , 15 U.S.C. 79t ( c ) ; ( 3 ) To permit the withdrawal of ap- plications or declarations filed pursuant to the Act , 15 U.S.C. 79a , et seq ...
... interest or the interest of inves- tors or consumers that a hearing be held ; section 20 ( c ) , 15 U.S.C. 79t ( c ) ; ( 3 ) To permit the withdrawal of ap- plications or declarations filed pursuant to the Act , 15 U.S.C. 79a , et seq ...
Page 107
... interest incompatible with an unbiased exercise of official judgment.5 ( f ) Have direct or indirect , personal business or financial affairs which con- flict or appear to conflict with his official duties and responsibilities . ( g ) ...
... interest incompatible with an unbiased exercise of official judgment.5 ( f ) Have direct or indirect , personal business or financial affairs which con- flict or appear to conflict with his official duties and responsibilities . ( g ) ...
Page 110
... interest in any broker , dealer or investment adviser through ownership of securities or otherwise . ( j ) No member ... interest . Any employee assigned to work on any application , filing or matter of a com- pany ( a ) in which he or ...
... interest in any broker , dealer or investment adviser through ownership of securities or otherwise . ( j ) No member ... interest . Any employee assigned to work on any application , filing or matter of a com- pany ( a ) in which he or ...
Other editions - View all
Common terms and phrases
48 Stat affiliates aggregate amended amount annual report application appropriate assets authorized balance sheet broker or dealer caption cash certificates Column Commis Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents employee equity securities exemption financial statements fiscal furnished futures commission merchant holding company included 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 regulations request respect rules schedule section 12 secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified stock options suant Subpart subsidiaries surplus term thereof thereto tion trading transactions trust underwriter voting trustees
Popular passages
Page 110 - ... 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 23 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Page 87 - 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...
Page 333 - ... (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.
Page 326 - 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 374 - No solicitation subject to this regulation 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 or necessary to correct any statement in any earlier communication...
Page 239 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary is a criminal offense.
Page 111 - 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 32 - 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.
Page 143 - 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...