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, 1968 - Administrative law |
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Page 56
... Included among these mat- ters are applications for registration as floor brokers and futures commission merchants and the financial statements accompanying the applications for reg- istration as futures commission mer- chants , and ...
... Included among these mat- ters are applications for registration as floor brokers and futures commission merchants and the financial statements accompanying the applications for reg- istration as futures commission mer- chants , and ...
Page 96
... included in the SEC monthly Statistical Bulletin . ) 11. Weekly Trading Data on New York Exchanges : SEC stock price indexes and daily round - lot and odd - lot transactions effected on the New York and American Stock Ex- changes ...
... included in the SEC monthly Statistical Bulletin . ) 11. Weekly Trading Data on New York Exchanges : SEC stock price indexes and daily round - lot and odd - lot transactions effected on the New York and American Stock Ex- changes ...
Page 114
... included on a statement of employment and financial interests or supplementary statement , including holdings placed in trust , is not known to the employee but is known to another person , the employee shall request that other person ...
... included on a statement of employment and financial interests or supplementary statement , including holdings placed in trust , is not known to the employee but is known to another person , the employee shall request that other person ...
Page 132
... included , unless it is Saturday , Sunday or a legal holiday in the District of Columbia , in which event the period runs until the end of the next day which is neither a Saturday , Sunday nor a holiday . Intermediate Saturdays ...
... included , unless it is Saturday , Sunday or a legal holiday in the District of Columbia , in which event the period runs until the end of the next day which is neither a Saturday , Sunday nor a holiday . Intermediate Saturdays ...
Page 151
... included in any combined statement . Except as pro- vided in the preceding sentence , state- ments of banks shall not be included in any consolidated or combined state- ments . $ 210.4-13 Special requirements as to public utility ...
... included in any combined statement . Except as pro- vided in the preceding sentence , state- ments of banks shall not be included in any consolidated or combined state- ments . $ 210.4-13 Special requirements as to public utility ...
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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 provisions 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 voting trustees
Popular passages
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 16 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
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.