Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and Index, Edição 17Division of the Federal Register, the National Archives, 1993 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
Outras edições - Ver tudo
Code of Federal Regulations: Containing a Codification of Documents of ... Visualização integral - 1976 |
Code of Federal Regulations: Containing a Codification of Documents of ... Visualização integral - 1976 |
Code of Federal Regulations: Containing a Codification of Documents of ... Visualização integral - 1982 |
Palavras e frases frequentes
48 Stat affiliate agreement amended amount annual report application assets bank beneficial owner bidder broker or dealer business days cash chapter class of securities Commission compa contract copies curities deduction deemed demand note directors disclosure document effective equity securities filed pursuant financial statements fiscal funds furnished graph holding company issued issuer Item market maker market value material means ment municipal securities NASDAQ national securities exchange officer option payment penny stock percent period principal prior proxy statement purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quired quotation record regis registration statement repurchase agreement respect rities sales load Schedule Schedule 13D secu Securities Act securities dealer Securities Exchange Act security holders separate account sion solicitation specified suant subject company subordination agreement subsidiary tender offer tered term thereof thereunder tion trading trust underwriter voting
Passagens conhecidas
Página 44 - ... (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.
Página 269 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Página 22 - 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...
Página 90 - control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Página 44 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange.
Página 204 - ... 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, and (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a director or officer of the registrant or any of its parents or subsidiaries.
Página 134 - The Item numbers and captions of the Items shall be Included but the text of the Items Is to be omitted. The answers to the Items shall be so prepared as to Indicate clearly the coverage of the Items without referring to the text of the Items. Answer every Item. If an Item Is Inapplicable or the answer is in the negative so state. B.
Página 209 - ... 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.
Página 282 - ... acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions, and 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.
Página 90 - affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified.