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, 1997 - Administrative law Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Page 215
... financial information . ( a ) Rules 410 and 630 of the Rules of Practice ... STATEMENTS , SECURI- TIES ACT OF 1933 , SECURITIES EXCHANGE ACT OF 1934 ... financial state- ments by foreign government auditors . 210.2-04 Examination of ...
... financial information . ( a ) Rules 410 and 630 of the Rules of Practice ... STATEMENTS , SECURI- TIES ACT OF 1933 , SECURITIES EXCHANGE ACT OF 1934 ... financial state- ments by foreign government auditors . 210.2-04 Examination of ...
Page 216
... financial statements at ef- fective date of registration statement or at mailing date of proxy statement . 210.3-13 Filing of other financial statements in certain cases . 210.3-14 Special instructions for real estate operations to be ...
... financial statements at ef- fective date of registration statement or at mailing date of proxy statement . 210.3-13 Filing of other financial statements in certain cases . 210.3-14 Special instructions for real estate operations to be ...
Page 218
... financial statements , means an examination of the financial state- ments by an independent accountant in accordance with generally accepted au- diting standards , as may be modified or supplemented by the Commission , for the purpose ...
... financial statements , means an examination of the financial state- ments by an independent accountant in accordance with generally accepted au- diting standards , as may be modified or supplemented by the Commission , for the purpose ...
Page 221
... financial statements being reported on , at the date of his report or during the period covered by the financial statements , he , his firm , or a member of his firm was connected as a promoter , under- writer , voting trustee ...
... financial statements being reported on , at the date of his report or during the period covered by the financial statements , he , his firm , or a member of his firm was connected as a promoter , under- writer , voting trustee ...
Page 222
... financial statements . ( d ) Exceptions . Any matters to which the accountant takes exception shall be clearly identified , the exception thereto specifically and clearly stated , and , to the extent practicable , the ef- fect of each ...
... financial statements . ( d ) Exceptions . Any matters to which the accountant takes exception shall be clearly identified , the exception thereto specifically and clearly stated , and , to the extent practicable , the ef- fect of each ...
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Common terms and phrases
48 Stat affiliates agency amount applicable assets balance sheet broker cash chapter cial cluded column Commis Commission Commission's copy Counsel curities dealer debt deemed Director disclosed disclosure dividends document effective date electronic filing employee equity erwise exemption Federal fees filer Financial Data Schedule financial statements Form format hearing officer Holding Company income income statement interest Investment Company Act investors issued istered istrant istration statement Item market risk material ment paragraph party period person post-effective amendment preferred stock prior pro forma proceeding prospectus pursuant to Rule pursuant to section quired record registrant's registration statement Regulation S-T relating repurchase agreements request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof underwriter unit investment trust
Popular passages
Page 161 - 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 214 - ... 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 550 - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.
Page 482 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Page 120 - ... 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 31 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Page 64 - ... for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days. As used in this subparagraph, unusual circumstances...
Page 619 - If data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an "original.
Page 53 - ... could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency or authority or any private institution which furnished information on a confidential basis...
Page 55 - ... (6) (A) Each agency, upon any request for records made under paragraph (1), (2), or (3) of this subsection, shall— (i) determine within ten days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of any such request whether to comply with such request and shall immediately notify the person making such request of such determination and the reasons therefor, and of the right of such person to appeal to the head of the agency any adverse determination...