The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1985 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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48 Stat 54 Stat affiliated amended amount annual report application assets association bank broker or dealer business days certificate Commis Commission compa contract copies curities deduction deemed demand note directors document equity securities Exemption from section Federal filed pursuant fiscal Form furnished graph holding company investment adviser Investment Company Act issued issuer Item market maker market value material municipal securities NASDAQ national securities exchange notice Office option pany payment percent period person prior proxy statement purchase pursuant to paragraph pursuant to Rule pursuant to section quired records regis registered investment company registration statement regulations respect rities Schedule Schedule 13D secu Securities Act Securities Exchange Act security holders separate account service company sion solicitation specified spect suant subject company subordination agreement subsidiary tender offer tered term thereof thereto tion transaction transfer agent trust unit investment trusts voting
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Stranica 133 - 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...
Stranica 38 - 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...
Stranica 15 - 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...
Stranica 182 - ... 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 with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Stranica 239 - ... 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.
Stranica 178 - 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,...
Stranica 540 - Affiliated company" means a company which is an affiliated person. 3. "Affiliated person" of another person means (A) any person directly or indirectly owning, controlling, or holding with power to vote, 5 per centum or more of the outstanding voting securities of...
Stranica 91 - 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.
Stranica 130 - The item numbers and captions of the items shall be included but the text of the items is to be omitted. The answers to the items shall be so prepared as to indicate clearly the coverage of the items without referring to the text of the items. Answer every item. If an item is inapplicable or the answer is in the negative, so state.
Stranica 208 - Commission may authorize upon a showing of good cause therefor, the issuer shall file with the Commission and transmit to all holders of record of securities of the issuer who would be entitled to vote at a meeting for election of directors, information substantially equivalent to the information which would be required by...