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. |
From inside the book
Page 38
... person registered as futures commission mer- chant shall at times continue ... by such contract market in its bylaws , rules , regulations or resolutions and ... affiliate that directly or in- directly controls , is controlled by , or is ...
... person registered as futures commission mer- chant shall at times continue ... by such contract market in its bylaws , rules , regulations or resolutions and ... affiliate that directly or in- directly controls , is controlled by , or is ...
Page 56
... person or persons who direct trading activities , the parent corporation , if any , and subsidiaries or affiliates , if any ; ( f ) The name and address of each person whose commodity futures account is controlled by the reporting ...
... person or persons who direct trading activities , the parent corporation , if any , and subsidiaries or affiliates , if any ; ( f ) The name and address of each person whose commodity futures account is controlled by the reporting ...
Page 80
provided in section 12 ( g ) ( 4 ) of the Act ( 15 U.S.C. 781 ( g ) ( 4 ) ... registered under the Investment Company Act of 1940 are not within the scope of the ... person within the period specified in the notice and the matter involved ...
provided in section 12 ( g ) ( 4 ) of the Act ( 15 U.S.C. 781 ( g ) ( 4 ) ... registered under the Investment Company Act of 1940 are not within the scope of the ... person within the period specified in the notice and the matter involved ...
Page 97
... by registered securities association . Reports on stabilizing activities pertaining to a fixed price offering of ... person employed or retained by a reg- istered holding company or subsidiary thereof , of sub- ject matter in respect ...
... by registered securities association . Reports on stabilizing activities pertaining to a fixed price offering of ... person employed or retained by a reg- istered holding company or subsidiary thereof , of sub- ject matter in respect ...
Page 98
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 - Continued Description Report by an affiliate service company or by a person ... registered holding company for approval of amount at which to enter ... certain persons . Certificate of notification ...
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 - Continued Description Report by an affiliate service company or by a person ... registered holding company for approval of amount at which to enter ... certain persons . Certificate of notification ...
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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 cluding 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 proxy statement purchase pursuant to Rule pursuant to section 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 trust underwriter unit investment trusts unless
Popular passages
Page 132 - ... 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 24 - 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 244 - 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 115 - ... 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 91 - 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 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 337 - 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...
Page 244 - 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 344 - 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 116 - 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.