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 70
... operating any na- tional market subsystem or facility contemplated by a national market system plan , ( ii ) preparing and filing a national market system plan or any amendment thereto , or ( iii ) imple- menting or administering an ...
... operating any na- tional market subsystem or facility contemplated by a national market system plan , ( ii ) preparing and filing a national market system plan or any amendment thereto , or ( iii ) imple- menting or administering an ...
Page 74
... operating pur- suant to an effective national market system plan . ( 6 ) The term covered security shall mean any reported security and any other security for which a transaction report , last sale data or quotation in- formation is ...
... operating pur- suant to an effective national market system plan . ( 6 ) The term covered security shall mean any reported security and any other security for which a transaction report , last sale data or quotation in- formation is ...
Page 97
... operations before income taxes , extraordinary items and cumu- lative effect of a change in accounting principle of the subsidiary exceeds 10 percent of such income of the reg- istrant and its subsidiaries consoli- dated for the most ...
... operations before income taxes , extraordinary items and cumu- lative effect of a change in accounting principle of the subsidiary exceeds 10 percent of such income of the reg- istrant and its subsidiaries consoli- dated for the most ...
Page 112
... operations ; changes in business ; acquisitions or dispositions of assets ; issuance , redemption or ac- quisitions of their securities ; changes in management or control ; the grant- ing of options or the payment of other remuneration ...
... operations ; changes in business ; acquisitions or dispositions of assets ; issuance , redemption or ac- quisitions of their securities ; changes in management or control ; the grant- ing of options or the payment of other remuneration ...
Page 117
... operations and / or extraordinary items as classified under the provisions of generally accepted accounting prin- ciples also shall be shown , if applica- ble . Per share data based upon such in- come or loss and net income or loss ...
... operations and / or extraordinary items as classified under the provisions of generally accepted accounting prin- ciples also shall be shown , if applica- ble . Per share data based upon such in- come or loss and net income or loss ...
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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.