The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1968 - 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. |
From inside the book
Results 1-5 of 89
Page 47
... broker ” means any per- son located outside of the United States or its ... brokers - as specified in Part 17 of this chapter . ( c ) Traders who hold or ... dealer who is also a trader is , in addition , subject to Part 18 of this ...
... broker ” means any per- son located outside of the United States or its ... brokers - as specified in Part 17 of this chapter . ( c ) Traders who hold or ... dealer who is also a trader is , in addition , subject to Part 18 of this ...
Page 87
... broker - dealer and investment adviser applications originating in their respective regions ; and Regulation A ( 17 CFR 200.251 et seq . ) letters of notification filed in their respective regions . ( 5 ) In the New York offices of the ...
... broker - dealer and investment adviser applications originating in their respective regions ; and Regulation A ( 17 CFR 200.251 et seq . ) letters of notification filed in their respective regions . ( 5 ) In the New York offices of the ...
Page 92
... broker and dealer , and amendments or supplements to such application . Reports of financial condition of registered brokers and dealers . 15 ( b ) . 17 . Irrevocable appointment of agent for service of process , 23 ( a ) . pleadings ...
... broker and dealer , and amendments or supplements to such application . Reports of financial condition of registered brokers and dealers . 15 ( b ) . 17 . Irrevocable appointment of agent for service of process , 23 ( a ) . pleadings ...
Page 93
... broker or dealer for admission or continuance of broker or dealer as member of a national securities association , notwithstanding a disqualification under section 15A ( b ) ( 4 ) . Pursuant to section 15A ( b ) ( 4 ) . 15A ( g ) . 17 ...
... broker or dealer for admission or continuance of broker or dealer as member of a national securities association , notwithstanding a disqualification under section 15A ( b ) ( 4 ) . Pursuant to section 15A ( b ) ( 4 ) . 15A ( g ) . 17 ...
Page 107
... broker , dealer , investment ad- viser , investment company , public utility holding company or affiliate , or directly or indirectly related to the issuance , sale , purchase or investment of securities is deemed to be incompatible ...
... broker , dealer , investment ad- viser , investment company , public utility holding company or affiliate , or directly or indirectly related to the issuance , sale , purchase or investment of securities is deemed to be incompatible ...
Other editions - View all
Common terms and phrases
48 Stat affiliates aggregate amended amount annual report application appropriate assets authorized balance sheet broker or dealer caption cash certificates Column Commis Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents employee equity securities exemption financial statements fiscal furnished futures commission merchant holding company included income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus proxy proxy statement purchase pursuant to section quired records reference regis registration statement regulations request respect rules schedule section 12 secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified stock options suant Subpart subsidiaries surplus term thereof thereto tion trading transactions trust underwriter unless voting trustees
Popular passages
Page 344 - 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...
Page 125 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Page 403 - ... 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 337 - 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 126 - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.
Page 115 - A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public Information.
Page 22 - Such depositions may be taken before any judge of any court of the United States, or any commissioner of a circuit, or any clerk of a district or circuit court, or any chancellor, justice, or judge of a supreme or superior court, mayor or chief magistrate of a city, judge of a county court, or court of common pleas of any of the United States...
Page 359 - 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 company, whether such power is exercised through one or more intermediary companies, or alone, or in conjunction with, or pursuant to an agreement...
Page 7 - Disqualification of presiding officer. The presiding officer may at any time withdraw as presiding officer in a proceeding if he deems himself to be disqualified. Upon the filing by an interested person in good faith of a timely and sufficient affidavit of personal bias or disqualification...
Page 88 - Executive order to be kept secret in the interest of the national defense or foreign policy; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a...