The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1978 - 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 183
... sheet , pursuant to Rule 310 ( a ) thereunder ( § 230.310 ( a ) of this Chapter ) ; ( 2 ) To authorize the issuance of orders temporarily suspending the ef- fectiveness of offering sheets as pre- scribed in Rule 334 thereunder ...
... sheet , pursuant to Rule 310 ( a ) thereunder ( § 230.310 ( a ) of this Chapter ) ; ( 2 ) To authorize the issuance of orders temporarily suspending the ef- fectiveness of offering sheets as pre- scribed in Rule 334 thereunder ...
Page 191
ance sheet of the investment adviser of such investment company and , if the investment adviser is primarily en- gaged in a business other than the un- derwriting or distribution of invest- ment company securities or the per- formance ...
ance sheet of the investment adviser of such investment company and , if the investment adviser is primarily en- gaged in a business other than the un- derwriting or distribution of invest- ment company securities or the per- formance ...
Page 293
... sheets . 210.5-03 Income statements . 210.5-04 What schedules are to be filed . COMPANIES IN THE DEVELOPMENT STAGE ( ARTICLE 5A ) 210.5A - 01 Application of §§ 210.5A - 01 and 210.5A - 02 . 210.5A - 02 Additional information required to ...
... sheets . 210.5-03 Income statements . 210.5-04 What schedules are to be filed . COMPANIES IN THE DEVELOPMENT STAGE ( ARTICLE 5A ) 210.5A - 01 Application of §§ 210.5A - 01 and 210.5A - 02 . 210.5A - 02 Additional information required to ...
Page 294
... sheets . 210.7-04 Income statements . 210.7-05 Special notes to financial state- ments . 210.7-06 What schedules are to be filed . LIFE INSURANCE COMPANIES 210.7a - 01 Application of §§ 210.7a - 01 to 210.7a - 06 . 210.7a - 02 General ...
... sheets . 210.7-04 Income statements . 210.7-05 Special notes to financial state- ments . 210.7-06 What schedules are to be filed . LIFE INSURANCE COMPANIES 210.7a - 01 Application of §§ 210.7a - 01 to 210.7a - 06 . 210.7a - 02 General ...
Page 301
... sheet and any subsequent unaudited balance sheet being filed and for item ( q ) as speci- fied therein . When specific statements are presented separately the pertinent notes shall be attached unless cross - re- ferencing is appropriate ...
... sheet and any subsequent unaudited balance sheet being filed and for item ( q ) as speci- fied therein . When specific statements are presented separately the pertinent notes shall be attached unless cross - re- ferencing is appropriate ...
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Common terms and phrases
48 Stat Administrative Law Judge affiliates aggregate amended amount appropriate assets authority balance sheet broker or dealer caption certificate chapter cluding Column Commis Commission's commodity Commodity Exchange Act contract market copies curities deemed Director disclosure documents effective date employee exemption fees financial statements fiscal furnished futures commission merchant included income income statement initial decision interest issued issuer Item material matter ment mission national securities exchange notice notification offering sheet option otherwise paragraph participation party percent period person prior proceeding proposed prospectus proxy proxy statement purchase pursuant to section quired record regis registration statement regulations relating request respect rities Schedule secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant Subpart subpoena subsidiaries term thereof thereto tion trading transactions underwriter unless
Popular passages
Page 104 - ... (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 123 - 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 77 - Parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any books, documents or other tangible things and the identity and location of persons having knowledge of any discoverable matter.
Page 85 - That in any court of the United States and in any court established by Act of Congress, any writing or record, whether in the form of an entry in a book or otherwise, made as a memorandum or record of any act, transaction, occurrence, or event...
Page 290 - ... under common control with, the person specified. (b) Control. The term "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 269 - ... 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 512 - 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 618 - ... 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 39 - ... person" includes an individual partnership, corporation, association, or public or private organization other than an agency; (3) "party" includes a person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an agency proceeding, and a person or agency admitted by an agency as a party for limited purposes; (4) "rule...
Page 268 - 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.