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 |
From inside the book
Results 1-5 of 100
Page 7
... received in connection with underwritings . 240.15c2-5 Disclosure and other require- ments when extending or arranging cred- it in certain transactions . 240.15c2-6 [ Reserved ] 240.15c2-7 Identification of quotations . 240.15c2-8 ...
... received in connection with underwritings . 240.15c2-5 Disclosure and other require- ments when extending or arranging cred- it in certain transactions . 240.15c2-6 [ Reserved ] 240.15c2-7 Identification of quotations . 240.15c2-8 ...
Page 17
... Received less than 500 items for transfer and less than 500 items for processing during the preceding six months ( or in the time that it has been in business , if shorter ) ; ( 2 ) Transferred items only of issuers that would be deemed ...
... Received less than 500 items for transfer and less than 500 items for processing during the preceding six months ( or in the time that it has been in business , if shorter ) ; ( 2 ) Transferred items only of issuers that would be deemed ...
Page 19
... received by the acquiring person as established in accordance with para- graph ( a ) ( 4 ) of this section . ( c ) Proxy and information statement fil- ings . At the time of filing a preliminary proxy statement pursuant to Rule 14a- 6 ...
... received by the acquiring person as established in accordance with para- graph ( a ) ( 4 ) of this section . ( c ) Proxy and information statement fil- ings . At the time of filing a preliminary proxy statement pursuant to Rule 14a- 6 ...
Page 31
... received it ; or ( c ) he owns a security convertible into or exchangeable for it and has tendered such security for conversion or ex- change ; or ( d ) he has an option to pur- chase or acquire it and has exercised such option ; or ( e ) ...
... received it ; or ( c ) he owns a security convertible into or exchangeable for it and has tendered such security for conversion or ex- change ; or ( d ) he has an option to pur- chase or acquire it and has exercised such option ; or ( e ) ...
Page 41
... received by or on behalf of such member , broker or dealer for the account of any customer ; ( ii ) Securities sold and appropriated by such member , broker or dealer to a customer , except that if such securities were subject to a lien ...
... received by or on behalf of such member , broker or dealer for the account of any customer ; ( ii ) Securities sold and appropriated by such member , broker or dealer to a customer , except that if such securities were subject to a lien ...
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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.