The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1971 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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Página 3
... Exchange Act . Ownership reports by certain persons . Employee stock option and stock purchase plans . 14 Changes in capital structure . Registration statements and offering circulars . 15 Reports of change in controlling ownership . 16 ...
... Exchange Act . Ownership reports by certain persons . Employee stock option and stock purchase plans . 14 Changes in capital structure . Registration statements and offering circulars . 15 Reports of change in controlling ownership . 16 ...
Página 30
... Exchange Revenue Bonds of the Columbia Storage Power Exchange for investment by National Banks pursuant to Paragraph Seventh of 12 U.S.C. 24 , and for investment by state banks which are members of the Federal Reserve System pursuant to ...
... Exchange Revenue Bonds of the Columbia Storage Power Exchange for investment by National Banks pursuant to Paragraph Seventh of 12 U.S.C. 24 , and for investment by state banks which are members of the Federal Reserve System pursuant to ...
Página 111
... Exchange Act of 1934 , as amended . ( 8 ) Ownership reports filed under part 12 of the Regulations of the Comptroller of the Currency ( part 12 of this chapter ) pursuant to section 16 of the Securities Exchange Act of 1934 , as amended ...
... Exchange Act of 1934 , as amended . ( 8 ) Ownership reports filed under part 12 of the Regulations of the Comptroller of the Currency ( part 12 of this chapter ) pursuant to section 16 of the Securities Exchange Act of 1934 , as amended ...
Página 128
... Exchange Act of 1934 , as amended , of any class of equity securities heretofore issued by a national bank and held of record by 750 or more persons ( after May 1 , 1967 , 500 or more persons ) . ( c ) Notwithstanding the foregoing ...
... Exchange Act of 1934 , as amended , of any class of equity securities heretofore issued by a national bank and held of record by 750 or more persons ( after May 1 , 1967 , 500 or more persons ) . ( c ) Notwithstanding the foregoing ...
Página 129
... EXCHANGE ACT1 Sec . 11.1 11.2 11.3 Scope and application . Definitions . Information to be furnished stock- holders . 11.3a Tender offers for stock of national banks . 11.4 Material to be filed with Comptroller . 11.48 Filing of ...
... EXCHANGE ACT1 Sec . 11.1 11.2 11.3 Scope and application . Definitions . Information to be furnished stock- holders . 11.3a Tender offers for stock of national banks . 11.4 Material to be filed with Comptroller . 11.48 Filing of ...
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Términos y frases comunes
agreement amended amount annual percentage rate applicable assets bank holding company bank's banks under paragraph Board of Governors bonds to finance capital cash certificate City collateral Comptroller convertible security corporation County creditor Currency director disclosures District eligible for purchase employee eral exempt extension of credit faith and credit Federal Reserve Act Federal Reserve Bank Federal Reserve System fiduciary filed finance charge Form CC funds hearing holding by national interest investment issued lease rental maturity member bank ment national banks obligations officer operating paragraph Seventh participation payable payment percent period person principal prior proxy purpose pursuant registered Regulation requested to rule respect Revenue Bonds savings deposits security holders Seventh of 12 shares solicitation specified subsidiary term thereof thority tion tional banks transaction underwriting and unlimited unlimited holding
Pasajes populares
Página 529 - The expressing of any views, argument, or opinion, or the dissemination thereof, whether in written, printed, graphic, or visual form, shall not constitute or be evidence of an unfair labor practice under any of the provisions of this Act, if such expression contains no threat of reprisal or force or promise of benefit.
Página 517 - This section does not preclude an employee from having a financial interest or engaging in financial transactions to the same extent as a private citizen not employed by the Government so long as it is not prohibited by law, the Executive order, or the regulations in this part.
Página 372 - No officer, director, or employee of any corporation or unincorporated association, no partner or employee of any partnership, and no individual, primarily engaged in the issue, flotation, underwriting, public sale, or distribution, at wholesale or retail, or through syndicate participation, of stocks, bonds, or other similar securities...
Página 137 - ... including but not limited to transfer of any of the securities, joint ventures, loan or option arrangements, puts or calls, guaranties of loans, guaranties against loss or guaranties of profits, division of losses or profits, or the giving or withholding of proxies, naming the persons with whom such contracts, arrangements, or understandings have been entered into, and giving the details thereof.
Página 116 - The total obligations to any national banking association of any person, copartnership, association, or corporation shall at no time exceed 10 per centum of the amount of the capital stock of such association actually paid in and unimpaired and 10 per centum of its unimpaired surplus fund. The term 'obligations...
Página 203 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, 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,...
Página 219 - Invitations for tenders. (1) No person, directly or indirectly, by use of the mails or by any means or instrumentality of interstate commerce or of any facility of a national securities exchange or otherwise, shall make a tender offer for, or a request or invitation for tenders of, any class of any equity security, which is registered pursuant to section 12 of the Act, of a bank if, after consummation thereof, such person...
Página 313 - No private banker or director, officer, or employee of any member bank of the Federal Reserve System or any branch thereof shall be at the same time a director, officer, or employee of any other bank, banking association, savings bank, or trust company organized under the National Bank Act or organized under the laws of any State or of the District of Columbia, or any branch thereof, except that the Board of Governors of the Federal Reserve System may by regulation permit such service as a director,...
Página 200 - To buy and sell, at home or abroad, bonds and notes of the United States, and bills, notes, revenue bonds, and warrants with a maturity from date of purchase of not exceeding six months, issued in anticipation of the collection of taxes or in anticipation of the receipt of assured revenues by any State, county, district, political subdivision, or municipality in the continental districts, such purchases to be made in accordance with rules and regulations prescribed by the Federal Reserve Board...
Página 483 - The limitations and restrictions herein contained as to dealing in, underwriting and purchasing for [the bank's] own account, investment securities shall not apply to obligations of the United States or general obligations of any State or of any political subdivision thereof," or certain other securities. In other words, national banks and member State banks are legally free (i) to underwrite such "exempt securities" and (ii) to invest therein without regard to the 10 percent limitation mentioned...