The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1971 - 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 37
... securities exchange or related clearing or- ganization , a national securities association , the U.S. Securities and Exchange Commis- sion , the securities commission or equivalent authority of any State for the regulation of brokers ...
... securities exchange or related clearing or- ganization , a national securities association , the U.S. Securities and Exchange Commis- sion , the securities commission or equivalent authority of any State for the regulation of brokers ...
Page 67
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 70
meetings of security holders by com- panies whose securities are listed on ex- change , public utility holding companies , and their subsidiaries and investment companies . ( c ) Regulation of the trading in securities on national ...
meetings of security holders by com- panies whose securities are listed on ex- change , public utility holding companies , and their subsidiaries and investment companies . ( c ) Regulation of the trading in securities on national ...
Page 71
... securities of companies having such securities listed on a na- tional securities exchange . The Act also provides for registration with the Commission and for regulation by the Commission of national securities exchanges , brokers and ...
... securities of companies having such securities listed on a na- tional securities exchange . The Act also provides for registration with the Commission and for regulation by the Commission of national securities exchanges , brokers and ...
Page 74
economic and financial reporting and disclosure with respect to securities traded on national securities exchanges ... Exchange Act of 1934 , the Public Util- ity Holding Company Act of 1935 , the Trust Indenture Act of 1939 , and the In ...
economic and financial reporting and disclosure with respect to securities traded on national securities exchanges ... Exchange Act of 1934 , the Public Util- ity Holding Company Act of 1935 , the Trust Indenture Act of 1939 , and the In ...
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Common terms and phrases
48 Stat account shall include affiliates amended amount annual report application appropriate assets associate companies authorized balance sheet broker or dealer broker-dealer caption cash certificate chapter cluded Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities 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 purchase pursuant to Rule pursuant to section quired records reference regis registration statement relating request respect rities 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 unit investment trusts unless
Popular passages
Page 131 - 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 132 - ... 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 316 - ... 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...
Page 132 - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.
Page 338 - affiliate" (whether referred to as an "affiliate" of, or a person "affiliated" with, a specified person) means 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 120 - A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public Information.
Page 116 - 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 338 - control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a...
Page 10 - ... 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 has...
Page 7 - Disqualification of presiding officer. The presiding officer may at any time withdraw as presiding officer in a proceeding if he deems himself to be disqualified. Upon the filing by an interested person in good faith of a timely and sufficient affidavit of personal bias or disqualification...