Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1964 - Administrative law |
From inside the book
Page 75
... subpoena witnesses , compel their terminating the effectiveness of offering attendance , take evidence , and require sheets upon application of persons filing the production of any books , papers , or them in compliance with the ...
... subpoena witnesses , compel their terminating the effectiveness of offering attendance , take evidence , and require sheets upon application of persons filing the production of any books , papers , or them in compliance with the ...
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Common terms and phrases
49 Stat additional adviser affiliates amended amount annual application appropriate assets associate authority balance bank capital certificate chapter Column Commission Commodity contained contract copies corporation cost deemed deposition determination director distribution documents effective employees evidence Exchange Exchange Act exemption expense facts filed funds furnished futures given hearing held holders holding company income interest investment investment company issued issuer limits material matter means ment NOTE notice offering officer oral otherwise paragraph party period person position principal prior proceeding proposed purchase pursuant reason received record reference registration registration statement regulations relating request respect rules schedule securities Securities Exchange separately shares sheet solicitation specified statement subsidiary term thereof tion trading transactions trust United unless written
Popular passages
Page 262 - ... (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 209 - affiliate" of, or a person "affiliated" with, a specified person, Is a person that directly, or Indirectly through one or more intermediaries, controls, or is controlled by, or Is under common control with, the person specified.
Page 262 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange.
Page 20 - ... hearing, unless it appears that the absence of the witness was procured by the party offering the deposition; or (3) that the witness is unable to attend or testify because of age, sickness, infirmity or imprisonment; or (4) that the party offering the deposition...
Page 295 - No solicitation subject to §§ 240.14al to 240.14a-10 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...
Page 121 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before buying or selling the security registered. (o) The term "officer...
Page 210 - 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 121 - 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 356 - Column (B) need not be answered with respect to payments computed on an actuarial basis under any plan which provides for fixed benefits in the event of retirement at a specified age or after a specified number of years of service.
Page 78 - No commissioner shall engage in any other business, vocation, or employment than that of serving as commissioner, nor shall any commissioner participate, directly or indirectly; in any stock-market operations or transactions of a character subject to regulation by the Commission pursuant to this title.
Bibliographic information
| Title | Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and Index |
| Contributor | United States. Office of the Federal Register |
| Publisher | Division of the Federal Register, the National Archives, 1964 |
| Original from | the University of Michigan |
| Digitized | 23 May 2005 |
| Export Citation | BiBTeX EndNote RefMan |