The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1977 - 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 11
... securities ; conviction of any felony in any Federal or State court ; con- viction of any offense involving the handling of any commodity or securities account for any customer , in any Federal or State court ; or debarment by any ...
... securities ; conviction of any felony in any Federal or State court ; con- viction of any offense involving the handling of any commodity or securities account for any customer , in any Federal or State court ; or debarment by any ...
Page 16
... SECURITIES , AND PROPERTY § 1.20 Customers ' money , securities , and property to be segregated and sep- arately accounted for . ( a ) All money , securities , and prop- erty received by a futures commission merchant to margin ...
... SECURITIES , AND PROPERTY § 1.20 Customers ' money , securities , and property to be segregated and sep- arately accounted for . ( a ) All money , securities , and prop- erty received by a futures commission merchant to margin ...
Page 150
... Securities and Exchange Commis- sion was created in 1934 under the Secu- rities Exchange Act . That Act trans- ferred to the Commission the adminis- tration of the Securities Act of 1933 , formerly administered by the Federal Trade ...
... Securities and Exchange Commis- sion was created in 1934 under the Secu- rities Exchange Act . That Act trans- ferred to the Commission the adminis- tration of the Securities Act of 1933 , formerly administered by the Federal Trade ...
Page 151
... securities , it is un- lawful to sell the securities in interstate commerce or through the mails . ( There are certain limited exemptions , such as government securities , non - public offer- ings , and intrastate offerings . ) The ef ...
... securities , it is un- lawful to sell the securities in interstate commerce or through the mails . ( There are certain limited exemptions , such as government securities , non - public offer- ings , and intrastate offerings . ) The ef ...
Page 186
... securities associ- ation Annual assessment and in- formation form for regis- tered brokers and dealers not members of a regis- tered national securities association 17 137 15 ( b ) ( 8 ) 15 ( b ) ( 8 ) 17 ( a ) Reports of market makers ...
... securities associ- ation Annual assessment and in- formation form for regis- tered brokers and dealers not members of a regis- tered national securities association 17 137 15 ( b ) ( 8 ) 15 ( b ) ( 8 ) 17 ( a ) Reports of market makers ...
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Common terms and phrases
48 Stat Administrative Law Judge affiliates aggregate amended amount application appropriate assets authority balance sheet broker or dealer caption certificate chapter Column Commis Commission's commodity Commodity Exchange Act contract market copies curities deemed Director disclosure documents effective date employee equity exemption fees filed financial statements furnished futures commission merchant included income income statement initial decision interest issued issuer material matter ment mission national securities exchange notice offering sheet option otherwise paragraph participation party percent period person prior proceeding proposed prospectus proxy proxy statement purchase pursuant to section record registration statement regulations request respect rities schedule Schedule 13D secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant subparagraph Subpart subpoena subsidiaries term thereof thereto tion trading transactions underwriter unless
Popular passages
Page 93 - 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 108 - 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 452 - ... (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 - The answer shall specifically deny the matter or set forth in detail the reasons why the answering party cannot truthfully admit or deny the matter. A denial shall fairly meet the substance of the requested admission, and when good faith requires that a party qualify...
Page 45 - Rule 32 (c), objection may be made at the trial or hearing to receiving in evidence any deposition or part thereof for any reason which would require the exclusion of the evidence if the witness were then present and testifying.
Page 174 - Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.
Page 400 - ... any note, draft, bill of exchange, or banker's acceptance 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 71 - Rule 30 (b) or (d), the deponent may be examined regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the examining party or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of relevant facts. It is not ground for objection...
Page 237 - ... 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 219 - ... particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.