The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1988 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 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 Exemption from section filed pursuant fiscal Form furnished graph holding company incorporated by reference investment adviser Investment Company Act issued issuer Item market maker market value material municipal securities national securities exchange officer option pany payment percent period person prior proxy statement purchase 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 sion solicitation specified spect suant subordination agreement subsidiary tender offer tered term thereof tion transaction transfer agent unit investment trust voting
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85 페이지 - affiliate" (whether referred to as an "affiliate" of, or a person "affiliated with, a specified person) means 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.
42 페이지 - ... (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.
46 페이지 - 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...
130 페이지 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary Is a criminal offense.
19 페이지 - 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...
138 페이지 - 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.
556 페이지 - ... In the case of shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or noncumulative; a brief indication of the preference, if any; and if convertible, a statement to that effect.
319 페이지 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member...
301 페이지 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant in the State of Oklahoma.
187 페이지 - ... 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...