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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,... "
General Rules and Regulations Under the Securities Exchange Act of 1934, as ... - Página 19
por United States. Securities and Exchange Commission - 1956
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Code of Federal Regulations: Containing a Codification of Documents of ...

1999 - 944 páginas
...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...when used in regard to financial statements, means examined and reported upon with an opinion expressed by an independent public or certified public accountant....
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The Code of Federal Regulations of the United States of America

1971 - 660 páginas
...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 such spouse, who...registrant or any of its parents or subsidiaries. (c) Certified. The term "certified" when used in regard to financial statements, means certified by...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1970 - 670 páginas
...or as to which such person serves as trustee or in a similar capacity, and (3) any relative or spome of such person. or any relative of such spouse, who...or officer of the registrant or any of its parents er subsidiaries. c¿ Certified. The term “certified” when used in regard to financial statements,...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1994 - 850 páginas
...and (3) any relative or spouse of such person, or any relative of such spouse, who has the same tome as such person or who is a director or officer of...when used in regard to financial statements, means examined and reported upon with an opinion expressed by an independent public or certified public accountant....
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The Code of Federal Regulations of the United States of America

1977 - 958 páginas
...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...director or officer of the registrant or any of its parente or subsidiaries. (d) Certified. The term "certified", when used In regard to financial statements,...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1981 - 1486 páginas
...such person serves as a trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person, or any relative of such spouse, who...such person or who is a director or officer of the bank or any of its parents or subsidiaries." (5 206.2(d).) ""The term 'immediate family' includes a...
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The Code of Federal Regulations of the United States of America

1981 - 668 páginas
...person or who is a director or officer of the registrant or any of its parents or subsidiaries. (d) Certified. The term "certified", when used in regard...independent certified public accountant or accountants. (e) Charter. The term "charter" includes articles of incorporation, declarations of trust, articles...
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Stock Market Study: Regulation of Unlisted Securities : Hearings ..., Partes 2-3

United States. Congress. Senate. Committee on Banking and Currency - 1955 - 728 páginas
...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...such person or who is a director or officer of the issuer or any of its parents or subsidiaries. Issuer. — The term "issuer" means the issuer of the...
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Hearings, Reports and Prints of the Senate Committee on Banking and ..., Parte 3

United States. Congress. Senate. Committee on Banking and Currency - 1956 - 424 páginas
...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...such person or who is a director or officer of the issuer or any of its parents or subsidiaries. Issuer : The term "issuer" means the issuer of the securities...
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Conflict of Interest Problems in SBIC's, Hearing Before a ..., Volumes 22-23

United States. Congress. Senate. Committee on Banking and Currency - 1963 - 166 páginas
...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...registrant or any of its parents or subsidiaries. Certified.—The term "certified," when used in regard to linancial statements, means certified by...
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