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, 2001 - Administrative law |
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Page ix
... Exchange Commission , parts 200 to 239. The third volume , comprising part 240 to end , contains the remaining regulations of the Securities and Exchange Commission , and Chapter IV - Department of the Treasury . The contents of these ...
... Exchange Commission , parts 200 to 239. The third volume , comprising part 240 to end , contains the remaining regulations of the Securities and Exchange Commission , and Chapter IV - Department of the Treasury . The contents of these ...
Page 3
... EXCHANGE COMMISSION - Continued Part Page 240 General rules and regulations , Securities Exchange Act of 1934 .... 5 241 Interpretative releases relating to the Securities Exchange Act of 1934 and general rules and regu- lations ...
... EXCHANGE COMMISSION - Continued Part Page 240 General rules and regulations , Securities Exchange Act of 1934 .... 5 241 Interpretative releases relating to the Securities Exchange Act of 1934 and general rules and regu- lations ...
Page 5
... Exchange Act of 1934 Sec . 240.0-1 240.0-2 RULES OF GENERAL APPLICATION Definitions . Business hours of the Commission . 240.0-3 Filing of material with the Commis- sion . 240.0 4 Nondisclosure of information ob- tained in examinations ...
... Exchange Act of 1934 Sec . 240.0-1 240.0-2 RULES OF GENERAL APPLICATION Definitions . Business hours of the Commission . 240.0-3 Filing of material with the Commis- sion . 240.0 4 Nondisclosure of information ob- tained in examinations ...
Page 11
... exchange members , brokers and dealers . 240.17a - 5 Reports to be made by certain bro- kers and dealers . 240.17a - 6 Right of national securities ex- change , national securities association , registered clearing agency or the Munic ...
... exchange members , brokers and dealers . 240.17a - 5 Reports to be made by certain bro- kers and dealers . 240.17a - 6 Right of national securities ex- change , national securities association , registered clearing agency or the Munic ...
Page 14
... Exchange Act of 1934 . ( 3 ) The term section refers to a sec- tion of the Securities Exchange Act of 1934.1 ( 4 ) The term rules and regulations re- fers to all rules and regulations adopt- ed by the Commission pursuant to the act ...
... Exchange Act of 1934 . ( 3 ) The term section refers to a sec- tion of the Securities Exchange Act of 1934.1 ( 4 ) The term rules and regulations re- fers to all rules and regulations adopt- ed by the Commission pursuant to the act ...
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Common terms and phrases
48 Stat affiliate alternative trading system amended amount annual report application bank beneficial owner bidder broker or dealer broker-dealer business days capital chapter class of securities clude Commis Commission copy curities deemed director disclose disclosure document effective equity securities exempt Federal filed pursuant financial statements fiscal funds furnished graph holding company information required investors issued issuer istered listed market maker market value material means ment municipal securities national securities exchange notice officer option OTC derivatives dealer pany penny stock percent period proxy statement purchase purposes pursuant to paragraph pursuant to section quired quotation records Regulation required by paragraph respect rities Schedule Schedule 13D secu securities dealer securities ex Securities Exchange Act security holders service company sion solicitation specified suant subject company subordination agreement subsidiary tender offer term thereof tion trading system trans
Popular passages
Page 44 - ... (1) to employ any device, scheme, or artifice to defraud, (2) 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 101 - 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, or otherwise.
Page 272 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant in the State of Oklahoma.
Page 21 - 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 44 - 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 454 - ... may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions.
Page 101 - 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 192 - Edition) 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...
Page 393 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...
Page 228 - ... is not reasonably within the power of such persons to ascertain or procure may be omitted, if a brief statement of the circumstances rendering such information unavailable is made.