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 22
... investment company ( or registered separate account ) ; an insur- ance company ; a bank ; a savings and loan ... investment adviser either is the trustee or is authorized in writing to make investment decisions ; or ( B ) That are ...
... investment company ( or registered separate account ) ; an insur- ance company ; a bank ; a savings and loan ... investment adviser either is the trustee or is authorized in writing to make investment decisions ; or ( B ) That are ...
Page 53
... investment company or unit in- vestment trust if : ( i ) The customer sends funds or secu- rities directly to , or receives funds or securities directly from , the registered open - end investment company or unit investment trust , its ...
... investment company or unit in- vestment trust if : ( i ) The customer sends funds or secu- rities directly to , or receives funds or securities directly from , the registered open - end investment company or unit investment trust , its ...
Page 154
... investment dis- cretion . ( a ) ( 1 ) Every institutional investment manager which exercises investment discretion with respect to accounts holding section 13 ( f ) securities , as de- fined in paragraph ( c ) of this section , having ...
... investment dis- cretion . ( a ) ( 1 ) Every institutional investment manager which exercises investment discretion with respect to accounts holding section 13 ( f ) securities , as de- fined in paragraph ( c ) of this section , having ...
Page 186
... Investment companies registered under the Investment Company Act of 1940 ( 15 U.S.C. 80a - 1 et seq . ) , other than closed - end investment companies , need not provide the information required by this paragraph ( d ) ( 3 ) . ( e ) In ...
... Investment companies registered under the Investment Company Act of 1940 ( 15 U.S.C. 80a - 1 et seq . ) , other than closed - end investment companies , need not provide the information required by this paragraph ( d ) ( 3 ) . ( e ) In ...
Page 194
... investment companies registered under the Investment Company Act of 1940 , Item 22 of this Sched- ule . Item 21. Voting procedures . As to each mat- ter which is to be submitted to a vote of se- curity holders , furnish the following ...
... investment companies registered under the Investment Company Act of 1940 , Item 22 of this Sched- ule . Item 21. Voting procedures . As to each mat- ter which is to be submitted to a vote of se- curity holders , furnish the following ...
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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.