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" ... 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,... "
The Code of Federal Regulations of the United States of America - Page 376
1972
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Federal Reserve Bulletin

Banks and banking - 1965 - 982 pages
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Security and Exchange Commission Proxy Rules ... Hearings ... H.R. 1493, H.R ...

United States. Congress. House. Interstate and foreign commerce - 1943 - 310 pages
...organization (other than the issuer) of which such person is an officer or partner or directly or indirectly the beneficial owner of 10 percent or more of any...beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person having the...
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Security and Exchange Commission Proxy Rules: Hearings Before the Committee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Corporation law - 1944 - 310 pages
...organization (other than the issuer) of which such person is an officer or partner or directly or indirectly the beneficial owner of 10 percent or more of any...beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person having the...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1979 - 1462 pages
...effect require a description of any material1 interest of any insider or any of his "associates" 2 "'The term 'material', when used to qualify a requirement...relative of such spouse, who has the same home as in any material transaction to which the bank was, or is to be, a party. These items contain a number...
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The Code of Federal Regulations of the United States of America

Administrative law - 1989 - 614 pages
...relationship with any person, means: (1) Any corporation or organization (other than the bank or a subsidiary of the bank) of which such person is an...spouse of such person or any relative of such spouse, 12 CFR Ch. Ill (1-1-89 Edition who has the same home as suck person or who is a director or offior...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1978 - 1266 pages
...ought reasonably to be informed before buying or selling the security registered." (§ 206.2(n>.) 2"The term 'associate', when used to indicate a relationship...has a substantial beneficial interest or as to which Footnotes continued on next page in any material transaction to which the bank was, or is to be, a...
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The Code of Federal Regulations of the United States of America

Administrative law - 1993 - 680 pages
...relationship with any person, means: (1) Any corporation or organization (other than the bank or a subsidiary of the bank) of which such person is an...substantial beneficial interest or as to which such 12 CFR Ch. Ill (1-1-93 Edition) person serves as a trustee or in a similar fiduciary capacity, and...
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The Code of Federal Regulations of the United States of America

Administrative law - 1981 - 360 pages
...corporation or organization (other than the bank or a majority owned subsidiary of the bank) of which said person is an officer or partner or is, directly or...beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person, or any relative...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1993 - 394 pages
...corporation or organization (other than the bank or a majority owned subsidiary of the bank) of which said person is an officer or partner or is, directly or...beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) Any relative or spouse of such Person, or any relative...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1979 - 1804 pages
...is, directly or indirectly, the beneficial § 230.405 Title 17 — Commodity and Securities Exchanges owner of 10 percent or more of any class of equity...beneficial interest or as to which such person serves as trustee or in a similar capacity, and (3) any relative or spouse of such person, or any relative of...
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