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" control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a person, whether through the... "
The Code of Federal Regulations of the United States of America - Página 76
1971
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Unternehmerisches Ermessen: zu den Aufgaben und Pflichten von Vorstand und ...

Andrea Lohse - 2005 - 580 páginas
...verstanden als „the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether...of voting securities, by contract, or otherwise." Zu diesem Personenkreis zählen insbesondere „executive officers, directors that are also employees...
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U.S. Regulation of Hedge Funds

Douglas L. Hammer - 2005 - 398 páginas
..."Control" means "the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether...the ownership of voting securities, by contract, or otherwise."64 Percentage ownership does not determine control, but 57. Securities Act § 2(a)(4), 15...
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Corporate Governance Best Practices: Strategies for Public, Private, and Not ...

Frederick D. Lipman, L.Keith Lipman - 2006 - 290 páginas
...Exchange Act as "the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether...the ownership of voting securities, by contract or otherwise."6 The determination of whether a person falls within the category of an affiliate requires...
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Advising the Small Business: Forms and Advice for the Legal Practitioner

Jean L. Batman - 2007 - 802 páginas
..."control" shall mean the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person, whether...ownership of voting securities, by contract or otherwise. "Agreement" shall mean this Operating Agreement, including Appendix 1 (Tax Accounting Procedures) and...
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Federal Banking Law and Regulations: A Handbook for Lawyers

Harding de C. Williams - 2006 - 382 páginas
..."Control" includes the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether...the ownership of voting securities, by contract, or otherwise.15 Exemptions from the Independence Requirements New issuers. Because of the likelihood that...
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The In-house Counsel's Essential Toolkit, Volume 6

American Bar Association. Section of Business Law. Committee on Corporate Counsel - 2007 - 440 páginas
...broad categories of employees, and (b) do not discriminate in favor of officers or directors. Control. The possession, directly or indirectly, of the power...ownership of voting securities, by contract, or otherwise. Entity. A sole proprietorship, trust, estate, partnership, or corporation (whether for-profit or not-for-profit),...
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The Role of Independent Directors After Sarbanes-Oxley

Bruce F. Dravis - 2007 - 206 páginas
...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...the ownership of voting securities, by contract, or otherwise.37 A person will be deemed not to be in control of a specified person ... if the person (1)...
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The Code of Federal Regulations of the United States of America

1972 - 732 páginas
...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)...reserve for contingencies and other capital reserves. (1) The term "fiscal year" means the annual accounting period or, if no closing date has been adopted,...
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International Encyclopedia of Comparative Law Vol. Xiii, Chapter 7

114 páginas
...Securities Act of i933,265 and the Securities Exchange Act of 1934, 2б6 provide as follows: "Control. The term 'control' (including the terms 'controlling',...of voting securities, by contract, or otherwise." These laws lead chiefly to requirements regarding the registration of securities, and regarding the...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - 1965 - 132 páginas
...governmental agency) the organization or creation of an incorporated or unincorporated person. Control. The term "control" (including the terms "controlling,"...ownership of voting securities, by contract, or otherwise. Employee. The term "employee" does not include a director, trustee, or officer. Fiscal Year. The term...
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