The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1972 - 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 72
... filed pursuant to the require- ments of that Act , except such material filed by investment companies registered under the Investment Company Act of 1940 . ( b ) All matters , except those pertain- ing to investment companies registered ...
... filed pursuant to the require- ments of that Act , except such material filed by investment companies registered under the Investment Company Act of 1940 . ( b ) All matters , except those pertain- ing to investment companies registered ...
Page 73
... filed under section 16 ( a ) . ( 5 ) The denial or suspension of reg- istration of securities listed on national securities exchanges , pursuant to section 19 ( a ) ( 2 ) by reason of failure to comply with the reporting requirements of ...
... filed under section 16 ( a ) . ( 5 ) The denial or suspension of reg- istration of securities listed on national securities exchanges , pursuant to section 19 ( a ) ( 2 ) by reason of failure to comply with the reporting requirements of ...
Page 76
... pursuant to the Securities Act of 1933 , 15 U.S.C. 77a , et seq . , and Regu- lation C thereunder , § 230.400 , et seq . of this chapter : ( 1 ) To determine the effective dates of amendments to registration state- ments filed pursuant ...
... pursuant to the Securities Act of 1933 , 15 U.S.C. 77a , et seq . , and Regu- lation C thereunder , § 230.400 , et seq . of this chapter : ( 1 ) To determine the effective dates of amendments to registration state- ments filed pursuant ...
Page 77
... pursuant to Rule 350 , § 230.350 of this chapter , when it appears that no ... filed in accordance with the provisions in Rule 352 , § 230.352 of this ... filed on Form T - 3 pursuant to section 307 of the Act , 15 U.S.C. 77ggg , and Rule ...
... pursuant to Rule 350 , § 230.350 of this chapter , when it appears that no ... filed in accordance with the provisions in Rule 352 , § 230.352 of this ... filed on Form T - 3 pursuant to section 307 of the Act , 15 U.S.C. 77ggg , and Rule ...
Page 78
... filed pursuant to section 12 ( g ) of the Act : ( 7 ) To issue notices of applications for exemptions under section 12 ( h ) of the Act . ( 8 ) At the request of the issuer , to accelerate the termination of registra- tion of any class ...
... filed pursuant to section 12 ( g ) of the Act : ( 7 ) To issue notices of applications for exemptions under section 12 ( h ) of the Act . ( 8 ) At the request of the issuer , to accelerate the termination of registra- tion of any class ...
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Common terms and phrases
48 Stat account shall include affiliates amended amount application appropriate assets associate companies authorized balance sheet broker or dealer broker-dealer capital capital surplus caption cash certificate chapter Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities expense filed pursuant financial statements fiscal funds furnished futures commission merchant income interest investment adviser issued issuer ment Microphoto national securities exchange option otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy proxy statement purchase pursuant to Rule pursuant to section quired records reference regis registration statement relating request respect Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph Subpart subsidiary surplus term thereof thereto tion trading transactions underwriter unless
Popular passages
Page 135 - 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 20 - 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 136 - ... upon application and notice, that 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.
Page 296 - 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 323 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, 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,...
Page 94 - 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 306 - ... (1) to employ any device, scheme, or artifice to defraud, (2) 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...
Page 247 - amount", when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security.
Page 352 - ... 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 119 - 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.