The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1970 - 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 70
... securities trade in the over - the - counter markets . ( b ) Enforcement of disclosure require- ments in the soliciting of proxies for meetings of security holders by com- panies whose securities are 69 Title 17 - Chapter II $ 200.1.
... securities trade in the over - the - counter markets . ( b ) Enforcement of disclosure require- ments in the soliciting of proxies for meetings of security holders by com- panies whose securities are 69 Title 17 - Chapter II $ 200.1.
Page 70
meetings of security holders by com- panies whose securities are listed on ex- change , public utility holding companies ... holders of information relevant to the matters which are the subject of solicita- tions . The Act also requires ...
meetings of security holders by com- panies whose securities are listed on ex- change , public utility holding companies ... holders of information relevant to the matters which are the subject of solicita- tions . The Act also requires ...
Page 71
... holders of equity 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 ...
... holders of equity 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 ...
Page 95
... holders from 14 ( c ) . whom proxies are not solicited filed under Regulation C [ 17 CFR 230.400 et seq . ] . Initial statement of beneficial ownership of equity se- curities by officers , directors , and principal stockholders of ...
... holders from 14 ( c ) . whom proxies are not solicited filed under Regulation C [ 17 CFR 230.400 et seq . ] . Initial statement of beneficial ownership of equity se- curities by officers , directors , and principal stockholders of ...
Page 98
... holders of registered investment companies . Application for order of the Commission determining 8 ( f ) . registrant has ceased to be an investment company . Fidelity bond , resolution of board of directors notice of 17 ( g ) ...
... holders of registered investment companies . Application for order of the Commission determining 8 ( f ) . registrant has ceased to be an investment company . Fidelity bond , resolution of board of directors notice of 17 ( g ) ...
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Common terms and phrases
48 Stat account shall include affiliates amended amount annual report application appropriate assets associate companies authority 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 registered investment registration statement 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 123 - 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 108 - ... 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 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 124 - ... 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 85 - 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 290 - ... (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 218 - Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide upon application or on Its own motion in a particular case. (e) Nothing in this section shall affect the obligation to deliver a prospectus pursuant to the provisions of section 5 of the Act by a dealer who is acting as an underwriter with respect to the securities involved or who is engaged in a transaction as to securities constituting the whole or a part of...
Page 142 - 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 109 - 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.
Page 29 - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person.