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" Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer... "
Insurance Proposals for the District of Columbia: Hearings Before the ... - Página 74
por United States. Congress. House. District of Columbia Committee - 1973 - 100 páginas
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Investment Trusts and Investment Companies: Hearings Before a ..., Parte3

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - 1940 - 1131 páginas
...order as necessary or appropriate in the public interest or for the protection of investors. (d) Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of outstanding securities (other than short-term paper) of which a registered investment...
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Investment Trusts and Investment Companies: Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 145 páginas
...certificate from the custodian, as the Commission may prescribe by rules and regulations. (f) Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of outstanding securities (other than short-term paper) of which a registered closed-end...
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Hearings, Reports and Prints of the Senate Committee on Banking ..., Partes1-4

United States. Congress. Senate. Committee on Banking and Currency - 1940
...order as necessary or appropriate in the public interest or for the protection of investors. (d) Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of outstanding securities (other than short-term paper) of which a registered investment...
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Investment Trusts and Investment Companies, Hearings Before a Subcommittee ...

United States. Congress. Senate. Committee on Banking and Currency - 1940
...order as necessary or appropriate in the public interest or for the protection of investors. (d- Every person who is directly or indirectly the beneficial owner of more than 10 per'centum of any class of outstanding securities (other than short-term paper) of which a registered...
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United States Code

United States - 1953
...make, see section 78w of this title. § 78p. Directors, officers, and principal stockholders. (a) Every ovided, That after June 30, 1948, the Act of July 2, 1890, as amended, known as the She any class of any equity security (other than an exempted security) which is registered on a national...
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United States Code

United States - 2000
...Commission may prescribe by rules and regulations. (h) Duties and liabilities of affiliated persons Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of outstanding securities (other than short-term paper) of which a registered closedend company...
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United States Code

United States - 2000
...partner, or employee responsible for management or administration of a Medicare+Choice organization, any person who is directly or indirectly the beneficial owner of more than 5 percent of the equity of the organization, any person who is the beneficial owner of a mortgage,...
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United States Code

United States - 1953
...is represented by securities of issuers with respect to each of which the investment company holds more than 10 per centum of the outstanding voting securities of such issuer and in respect of each of which or any predecessor thereof the investment company has continuously...
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Proposed Amendments to the Securities Act of 1933 and to the ..., Volumen4

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942
...in the print ? Mr. MCGRANERY.. I would like you to read it, if you will. Mr. REA (reading) : Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) of, or who is a director or an officer...
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Individual Income Tax Provisions of the Internal Revenue Code: Applicable to ...

United States. Congress. Joint Committee on Internal Revenue Taxation - 1944 - 312 páginas
...not greater in value than 5 per centum of the value of the total assets of the taxpayer and to not more than 10 per centum of the outstanding voting securities of such issuer, and (B) not more than 25 per centum of the value of its total assets is invested in the securities...
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