The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1981 - Administrative law 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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Page 3
... Exchange Act disclosure rules ........ Recordkeeping and confirmation requirements for securities transactions ............. 119 243 13-15 [ Reserved ] 16 Securities offering disclosure rules . 246 17 18 19 20 Required notification to ...
... Exchange Act disclosure rules ........ Recordkeeping and confirmation requirements for securities transactions ............. 119 243 13-15 [ Reserved ] 16 Securities offering disclosure rules . 246 17 18 19 20 Required notification to ...
Page 17
... Exchange Act of 1934 , as amended . ( 8 ) Ownership reports filed under Part 12 of the Regulations of the Comptroller of the Currency ( Part 12 of this chapter ) pursuant to section 16 of the Securities Exchange Act of 1934 , as amended ...
... Exchange Act of 1934 , as amended . ( 8 ) Ownership reports filed under Part 12 of the Regulations of the Comptroller of the Currency ( Part 12 of this chapter ) pursuant to section 16 of the Securities Exchange Act of 1934 , as amended ...
Page 50
... Exchange Act of 1934 ( 15 U.S.C. 781 ) ; or ( ii ) Immediately after the transac- tion no other person will own a greater proportion of that class of voting secu- rities . ( 2 ) Other transactions resulting in a person's control of less ...
... Exchange Act of 1934 ( 15 U.S.C. 781 ) ; or ( ii ) Immediately after the transac- tion no other person will own a greater proportion of that class of voting secu- rities . ( 2 ) Other transactions resulting in a person's control of less ...
Page 53
... Exchange Act of 1934 and a transaction would result in a person ( or group of persons acting in concert ) having voting control of 10 percent or more of any class of voting securities of that institution , the transaction results in ...
... Exchange Act of 1934 and a transaction would result in a person ( or group of persons acting in concert ) having voting control of 10 percent or more of any class of voting securities of that institution , the transaction results in ...
Page 62
... exchange . ( a ) Law - 12 U.S.C. 84 ( 1 ) . [ Such limitation of 10 per centum shall be subject to the following exceptions : ] ( 1 ) Obligations in the form of drafts or bills of exchange drawn in good faith against actually existing ...
... exchange . ( a ) Law - 12 U.S.C. 84 ( 1 ) . [ Such limitation of 10 per centum shall be subject to the following exceptions : ] ( 1 ) Obligations in the form of drafts or bills of exchange drawn in good faith against actually existing ...
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Common terms and phrases
affiliate agency aggregate amended amount application approval assets authorized balance sheet bank holding company bank's beneficial owner beneficial ownership capital CBCT Certificate cial clude collective investment fund Comptroller consolidated copies corporation curities Currency deemed deposit directors dividends employee equity securities Exchange Act exempt Federal branch fiduciary financial statements fiscal Form funds furnished holding company income Instructions interest investment issued Item L'Enfant Plaza lease liabilities limited material ment merger municipal securities dealer national bank notice number of shares obligations offering circular Office operating option organizing outstanding ownership paragraph participant payment percent period preferred stock prior proposed proxy proxy statement purchase purposes quired record Regional Administrator registered repurchase agreements request Reserve respect rities secu security holders shareholders solicitation specified subsidiaries tender offer term thereof tion tional bank transaction troller trust voting
Popular passages
Page 120 - ... under common control with, the person specified. (b) Control. The term "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...
Page 99 - 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...
Page 148 - ... (A) the background and identity of all persons by whom or on whose behalf the purchases have been or are to be effected; (B) the source and amount of the funds or other consideration used or to be used in making the purchases, and if any part of the purchase price or proposed purchase price is represented or is to be represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, or trading...
Page 87 - No association shall make any loan or discount on the security of the shares of its own capital stock, nor be the purchaser or holder of any such shares, unless such security or purchase shall be necessary to prevent loss upon a debt previously contracted in good faith...
Page 142 - 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 or necessary to correct any statement in any earlier communication with respect to the solicitation of a proxy for the same meeting or subject...
Page 121 - 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.
Page 183 - FINANCIAL STATEMENTS AND EXHIBITS List below the financial statements and exhibits, if any, filed as a part of this report: (a) Financial statements. (b) Exhibits. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the bank has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Name of bank...
Page 121 - Any person who, in connection with the founding and organizing of the business or enterprise of an issuer, directly or indirectly receives in consideration of services or property, or both services and property, 10 percent or more of any class of securities...
Page 62 - Such limitation of 10 per centum shall be subject to the following exceptions : "(1) Obligations in the form of drafts or bills of exchange drawn in good faith against actually existing values shall not be subject under this section to any limitation based upon such capital and surplus. " (2) Obligations arising out of the discount of commercial or business paper actually owned by the person, copartnership, association, or corporation negotiating the same shall not be subject under this section to...
Page 259 - Briefly describe any material pending legal proceedings, other than ordinary routine litigation incidental to the business, to which the registrant or any of its subsidiaries is a party or of which any of their property is the subject.