The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1990 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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Términos y frases comunes
48 Stat affiliate agreement amended amount annual report application assets association bank beneficial owners broker or dealer business days certificate Commis Commission compa contract copies curities deduction deemed demand note directors document effective equity securities filed pursuant financial statements fiscal funds furnished graph holding company investment adviser issued issuer Item market maker market value material means municipal securities national securities exchange notice officer option pany participant payment percent period person prior proxy statement purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quired record regis registration statement regulations repurchase agreements respect rities sales load Schedule Schedule 13D secu Securities Act securities dealer Securities Exchange Act security holders separate account service company sion solicitation specified spect suant subject company subordination agreement subsidiary tender offer tered term thereof tion transaction transfer agent unit investment trust voting
Pasajes populares
Página 42 - ... (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, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 46 - 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...
Página 19 - equity security" means any stock or similar security: or any security convertible, with or without consideration, into such, a security, or carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the...
Página 556 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before purchasing the security registered.
Página 256 - ... acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions, and 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 86 - The issuer of the security which may be purchased or sold upon exercise of the option, or is a person that directly, or indirectly, through one or more intermediaries, controls, or is controlled by, or is under common control with such issuer; (2) The term "underlying security" means a security which relates to or is the subject of an option.
Página 188 - ... 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, and (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a director or officer of the registrant or any of its parents or subsidiaries. Certified. The term "certified...
Página 86 - affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by. or is under common control with, the person specified.
Página 183 - Identity and background, (a) State the following: (1) Your name and business address. (2) Your present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is carried on.
Página 192 - Statement, form of proxy, notice of meeting, or other communication, written or oral, containing any statement that, 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 that omits to state any material fact necessary in order to make the statements therein not false or misleading...