Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1998 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 68
... ( Form 144 ) . Notice of sale of securities pursuant to Rule 242 ( Form 242 ) . ( Obsolete ) . 6 years . 18- Applications for exemption from section 5 registration for interests or participations issued in connection with Keogh Plans ...
... ( Form 144 ) . Notice of sale of securities pursuant to Rule 242 ( Form 242 ) . ( Obsolete ) . 6 years . 18- Applications for exemption from section 5 registration for interests or participations issued in connection with Keogh Plans ...
Página 69
... ( Form X - 17A - 5 ) . ( Non - public ) Supplemental report detailing Securities Investor Protection Corporation assessment payment or overpayments ( Rule 17a - 5 ) . ( Non - public ) . Reports of changes in membership of any of its ...
... ( Form X - 17A - 5 ) . ( Non - public ) Supplemental report detailing Securities Investor Protection Corporation assessment payment or overpayments ( Rule 17a - 5 ) . ( Non - public ) . Reports of changes in membership of any of its ...
Página 70
... ( Form MSD ) . Application for registration as a securities information processor and amendments thereto ( Form SIP ) . Retention period For as long as municipal securities deal- er is registered with the Commission plus 50 years . For as ...
... ( Form MSD ) . Application for registration as a securities information processor and amendments thereto ( Form SIP ) . Retention period For as long as municipal securities deal- er is registered with the Commission plus 50 years . For as ...
Página 130
... Form S - 1 Form S - 2 Form S - 3 ... Form N - 1A Form S - 6 .. Form N - 7 ... Form S - 11 Form N - 14 Form S - 8 §239.16b Form S - 4 Form S - 18 Form F - 1 Form F - 2 Form F - 3 Form F - 4 Form F - 6 Form SR Form ET Form ID Form SE www ...
... Form S - 1 Form S - 2 Form S - 3 ... Form N - 1A Form S - 6 .. Form N - 7 ... Form S - 11 Form N - 14 Form S - 8 §239.16b Form S - 4 Form S - 18 Form F - 1 Form F - 2 Form F - 3 Form F - 4 Form F - 6 Form SR Form ET Form ID Form SE www ...
Página 131
... Form 6 - A 17 CFR part or section where identi- fied and de- scribed ... $ 239.95 Form 7 - A $ 239.96 Schedules A , B , C , D. $ 239.101 Form 1 - G ... $ 239.101 $ 239.101 Form 3 - G .. Form 144 $ 239.144 Form 1 - E $ 239.200 Form 2 - E ...
... Form 6 - A 17 CFR part or section where identi- fied and de- scribed ... $ 239.95 Form 7 - A $ 239.96 Schedules A , B , C , D. $ 239.101 Form 1 - G ... $ 239.101 $ 239.101 Form 3 - G .. Form 144 $ 239.144 Form 1 - E $ 239.200 Form 2 - E ...
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Términos y frases comunes
48 Stat 54 Stat 90 Stat accounting administrative affiliates agency amended amount applicable appropriate assets balance sheet broker caption cash chapter cial clude column Commis Commission Commission's copy Counsel curities dealers debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees filed pursuant financial statements Form hearing officer Holding Company income income statement interest investors issuance issued istered istrant Item market risk material ment mission nancial paragraph party payment period person preferred stock prior pro forma proceeding prospectus pursuant to Rule pursuant to section quired recent fiscal record registrant's registration statement Regulation repurchase agreements request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof underwriter
Pasajes populares
Página 27 - ... (b) For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 160 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Página 512 - ... 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.
Página 120 - ... 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.
Página 151 - Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law.
Página 50 - 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.
Página 145 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Página 54 - ... (6) (A) Each agency, upon any request for records made under paragraph (1), (2), or (3) of this subsection, shall— (i) determine within ten days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of any such request whether to comply with such request and shall immediately notify the person making such request of such determination and the reasons therefor, and of the right of such person to appeal to the head of the agency any adverse determination...
Página 54 - ... for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days. As used in this subparagraph, unusual circumstances...
Página 459 - Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter.