CFR > Title 17 > Chapter II > Part 240 > Subpart A > Annual Reports
Current as of: 2024 | Check for updates
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Terms Used In CFR > Title 17 > Chapter II > Part 240 > Subpart A > Annual Reports
- Answer: The formal written statement by a defendant responding to a civil complaint and setting forth the grounds for defense.
- Appeal: A request made after a trial, asking another court (usually the court of appeals) to decide whether the trial was conducted properly. To make such a request is "to appeal" or "to take an appeal." One who appeals is called the appellant.
- Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
- Attorney-in-fact: A person who, acting as an agent, is given written authorization by another person to transact business for him (her) out of court.
- Case law: The law as laid down in cases that have been decided in the decisions of the courts.
- certified: when used in regard to financial statements, means examined and reported upon with an opinion expressed by an independent public or certified public accountant. See 17 CFR 240.12b-2
- Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
- Deposition: An oral statement made before an officer authorized by law to administer oaths. Such statements are often taken to examine potential witnesses, to obtain discovery, or to be used later in trial.
- Docket: A log containing brief entries of court proceedings.
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- fiscal year: means the annual accounting period or, if no closing date has been adopted, the calendar year ending on December 31. See 17 CFR 240.12b-2
- Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
- Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
- Oath: A promise to tell the truth.
- Power of attorney: A written instrument which authorizes one person to act as another's agent or attorney. The power of attorney may be for a definite, specific act, or it may be general in nature. The terms of the written power of attorney may specify when it will expire. If not, the power of attorney usually expires when the person granting it dies. Source: OCC
- predecessor: means a person the major portion of the business and assets of which another person acquired in a single succession or in a series of related successions in each of which the acquiring person acquired the major portion of the business and assets of the acquired person. See 17 CFR 240.12b-2
- Presiding officer: A majority-party Senator who presides over the Senate and is charged with maintaining order and decorum, recognizing Members to speak, and interpreting the Senate's rules, practices and precedents.
- Probable cause: A reasonable ground for belief that the offender violated a specific law.
- registrant: means an issuer of securities with respect to which a registration statement or report is to be filed. See 17 CFR 240.12b-2
- statement: when used with reference to registration pursuant to section 12 of the act, includes both an application for registration of securities on a national securities exchange pursuant to section 12(b) of the act and a registration statement filed pursuant to section 12(g) of the act. See 17 CFR 240.12b-2
- Statute: A law passed by a legislature.
- Subpoena: A command to a witness to appear and give testimony.
CFR > Title 17 > Chapter II > Part 240 > Subpart A > Annual Reports
Current as of: 2024 | Check for updates
|
Other versions
| § 240.13a-1 | Requirements of annual reports |
| § 240.13a-3 | Reporting by Form 40-F registrant |
Terms Used In CFR > Title 17 > Chapter II > Part 240 > Subpart A > Annual Reports
- Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
- fiscal year: means the annual accounting period or, if no closing date has been adopted, the calendar year ending on December 31. See 17 CFR 240.12b-2
- Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
- registrant: means an issuer of securities with respect to which a registration statement or report is to be filed. See 17 CFR 240.12b-2
- statement: when used with reference to registration pursuant to section 12 of the act, includes both an application for registration of securities on a national securities exchange pursuant to section 12(b) of the act and a registration statement filed pursuant to section 12(g) of the act. See 17 CFR 240.12b-2