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, 1967 |
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Página 169
... underwriting expenses . In- clude hereunder all other underwriting ex- penses not included above . State separately any material amount . Do not include in- vestment expense under this caption . 11. Other underwriting profit or loss ...
... underwriting expenses . In- clude hereunder all other underwriting ex- penses not included above . State separately any material amount . Do not include in- vestment expense under this caption . 11. Other underwriting profit or loss ...
Página 197
... underwriter of such securities , shall be deemed to an underwriter of such securi- ties within the meaning of section 2 ( 11 ) of the Act . This paragraph does not re- fer to arrangements limited to provision for the matching and ...
... underwriter of such securities , shall be deemed to an underwriter of such securi- ties within the meaning of section 2 ( 11 ) of the Act . This paragraph does not re- fer to arrangements limited to provision for the matching and ...
Página 197
... underwriter of such securities , shall be deemed to an underwriter of such securi- ties within the meaning of section 2 ( 11 ) of the Act . This paragraph does not re- fer to arrangements limited to provision for the matching and ...
... underwriter of such securities , shall be deemed to an underwriter of such securi- ties within the meaning of section 2 ( 11 ) of the Act . This paragraph does not re- fer to arrangements limited to provision for the matching and ...
Página 198
... underwriter ; ( 5 ) In the case of a debt security with a fixed ( non - contingent ) interest provi- sion , the yield or , if the yield is not known , the probable yield range , as specified by the issuer or the managing underwriter ...
... underwriter ; ( 5 ) In the case of a debt security with a fixed ( non - contingent ) interest provi- sion , the yield or , if the yield is not known , the probable yield range , as specified by the issuer or the managing underwriter ...
Página 200
... underwriter of the securities offered or sold at the auction sale . Any person who acquires assessable stock at any such public auction or other sale with a view to the distribution thereof shall be deemed to be an underwriter of such ...
... underwriter of the securities offered or sold at the auction sale . Any person who acquires assessable stock at any such public auction or other sale with a view to the distribution thereof shall be deemed to be an underwriter of such ...
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Términos y frases comunes
48 Stat affiliates aggregate amended amount application appropriate assets authorized basis broker or dealer certificate cluded Column Commis Commodity Exchange Commodity Exchange Act consolidated contract market copies curities deemed deposition director dividends documents effective date employee exemption financial statements fiscal furnished futures commission merchant hearing clerk included income income statement interest investment adviser Investment Company Act issuance issued issuer Item July 15 June 24 liabilities material ment national securities exchange number of shares offering sheet options otherwise paragraph party period person prior proceeding profit and loss proposed prospectus proxy statement purchase pursuant to section quired record reference regis registration statement request respect schedule Securities Act Securities Exchange Act security holders separately service of process sion solicitation specified suant subpart subsidiaries surplus term thereof thereto tion transactions trust underwriter unit investment trusts unless voting
Pasajes populares
Página 20 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions...
Página 62 - ... a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other 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...
Página 193 - 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, (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,...
Página 223 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, 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...
Página 63 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Página 223 - 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 81 - 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 164 - ... (b) If the rights of holders of such stock may be modified otherwise than by a vote of a majority or more of the shares outstanding, voting as a class, so state and explain briefly. (c) Outline briefly any restriction on the repurchase or redemption of shares by the bank while there is any arrearage in the payment of dividends or sinking fund installments. If there is no such restriction, so state.
Página 131 - Notwithstanding the foregoing, the period during which a prospectus must be delivered by a dealer shall be: (1) As specified in section 4(3) of the Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide upon application or on its own motion in a particular case. (e) Nothing in this section shall affect the obligation to deliver a prospectus pursuant to the provisions of section 5 of the Act by a dealer who Is acting...
Página 158 - If the business ordinarily results in actions for negligence or other claims, no such action or claim need be described unless it departs from the normal kind of such actions. 2. No information need be given with respect to any proceeding which involves primarily a claim for damages if the amount involved, exclusive of interest and costs, does not exceed 10 percent of the current assets of the registrant and its subsidiaries on a consolidated basis.