The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1981 - Administrative law The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. |
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Page 3
... subsidiary service companies , Public Utility Holding Company Act of 1935 ........ Regulation to govern preservation and destruction of records of mutual and subsidiary service com- panies ...... 368 368 411 412 430 257 Uniform system ...
... subsidiary service companies , Public Utility Holding Company Act of 1935 ........ Regulation to govern preservation and destruction of records of mutual and subsidiary service com- panies ...... 368 368 411 412 430 257 Uniform system ...
Page 23
... subsidiary organi- zation of either a national securities exchange or of a registered national securities association , or of a custodian bank , in accordance with a system for the central handling of securities es- tablished by a ...
... subsidiary organi- zation of either a national securities exchange or of a registered national securities association , or of a custodian bank , in accordance with a system for the central handling of securities es- tablished by a ...
Page 31
ees or shareholders of an issuer or its subsidiaries . ( d ) The provisions of this section shall not apply to any of the ... subsidiary of an issuer to employees or share- holders of the issuer or its subsidiar- ies , or to a trustee or ...
ees or shareholders of an issuer or its subsidiaries . ( d ) The provisions of this section shall not apply to any of the ... subsidiary of an issuer to employees or share- holders of the issuer or its subsidiar- ies , or to a trustee or ...
Page 63
... subsidiary of the Na- tional Association of Securities Deal- ers , Inc. ( 4 ) The term " subject security " shall mean , ( i ) Any reported security ; and ( ii ) Any other equity security as to which transaction reports , last sale data ...
... subsidiary of the Na- tional Association of Securities Deal- ers , Inc. ( 4 ) The term " subject security " shall mean , ( i ) Any reported security ; and ( ii ) Any other equity security as to which transaction reports , last sale data ...
Page 73
... subsidiary . The term " majority - owned subsidiary " means a subsidiary more than 50 per- cent of whose outstanding securities representing the right , other than as affected by events of default , to vote for the election of directors ...
... subsidiary . The term " majority - owned subsidiary " means a subsidiary more than 50 per- cent of whose outstanding securities representing the right , other than as affected by events of default , to vote for the election of directors ...
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Common terms and phrases
48 Stat affiliate amended amount annual report application assets bank broker or dealer broker-dealer business days capital certificate class of securities Commis Commission compa Company Act contract copies curities deemed demand note directors document employees equity security Exemption from section filed pursuant fiscal Form furnished graph holding company issued issuer Item market maker material means ment municipal securities NASDAQ national market system national securities exchange notice officer option otherwise pany payment percent period principal prior proxy proxy statement purchase purposes pursuant to paragraph pursuant to section quired quotation records regis registered investment company registration statement regulations respect rity Schedule Schedule 13D secu securities association Securities Exchange Act security holders service company sion solicitation specified spect suant subject company subordination agreement subsidiary tender offer tered term thereof thereto thereunder tion underwriter unit investment trust voting
Popular passages
Page 29 - ... (a) To employ any device, scheme, or artifice to defraud, "(b) 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 73 - control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, directly or indirectly, 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 232 - ... acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions, and 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 73 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before buying or selling the security registered. (o) The term "officer...
Page 29 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange.
Page 547 - Include the name of each person whose interest in any transaction is described and the nature of the relationship by reason of which such interest is required to be described. Where it is not practicable to state the approximate amount of the interest, the approximate amount involved in the transaction shall be indicated. 2. As to any transaction involving the purchase or sale of assets by or to the...
Page 163 - ... containing any 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 or necessary to correct any statement in any earlier communication with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Page 159 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity,...
Page 525 - Affiliated company" means a company which is an affiliated person. 3. "Affiliated person" of another person means (A) any person directly or indirectly owning, controlling, or holding with power to vote, 5 per centum or more of the outstanding voting securities of...
Page 189 - Commission may authorize upon a showing of good cause therefor, the issuer shall file with the Commission and transmit to all holders of record of securities of the issuer who would be entitled to vote at a meeting for election of directors, Information substantially equivalent to the information which would be required by...