Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and Index
Division of the Federal Register, the National Archives, 1967 - Administrative law
Special edition of the Federal register, containing a codification of documents of general applicability and future effect as of ... with ancillaries.
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48 Stat addition affiliates amended amount annual answer application appropriate assets associate authorized balance sheet basis broker or dealer capital caption certificates chapter Column Commission Commodity contained contract copies cost deemed deposited determining director documents effective employee exchange Exchange Act exemption exhibits expense filed fiscal furnished futures given hearing held holders holding included income indicate Instructions interest investment issued issuer Item loss material matter means ment notice offering officer options otherwise paragraph party period person position practicable principal prior proceeding proposed prospectus provisions purchase pursuant reason received records reference registration statement regulations relating request respect rules schedule securities Securities Exchange separately shares specified subsidiaries term thereof tion trading transactions trust underwriter United unless voting
Page 327 - ... 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...
Page 118 - ... that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Page 379 - ... 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 118 - 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 117 - 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 356 - 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...
Page 104 - direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Page 104 - Code of Ethics for Government Service". (b) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned. (c) The prohibition against lobbying with appropriated funds (18 USC 1913). (d) The prohibitions against disloyalty and striking (5 USC 7311, 18 USC 1918). (e) The prohibition against the employment of a member of a Communist organization (50 USC 784).
Page 136 - 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 purchasing the security registered.