The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1998 - 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 28
... copy of the report of any examination of any such clearing agency , transfer agent , or mu- nicipal securities dealer conducted by such appropriate regulatory agency and any data supplied to it in connec- tion with such examination ...
... copy of the report of any examination of any such clearing agency , transfer agent , or mu- nicipal securities dealer conducted by such appropriate regulatory agency and any data supplied to it in connec- tion with such examination ...
Page 42
... copy of a notice sent by or on behalf of the Securities Inves- tor Protection Corporation that a broker or dealer has failed to timely file any report or information or to pay when due all or any part of an assess- ment as required ...
... copy of a notice sent by or on behalf of the Securities Inves- tor Protection Corporation that a broker or dealer has failed to timely file any report or information or to pay when due all or any part of an assess- ment as required ...
Page 47
... copy of the report of any examination of any such clear- ing agency , transfer agent , or munici- pal securities dealer conducted by such appropriate regulatory agency and any data supplied to it in connection with such examination ...
... copy of the report of any examination of any such clear- ing agency , transfer agent , or munici- pal securities dealer conducted by such appropriate regulatory agency and any data supplied to it in connection with such examination ...
Page 57
... copies of records . Re- quests for copies of Commission records available through the Commis- sion's public reference facilities , in- cluding those listed in appendix A to this section , may be made directly to the appropriate facility ...
... copies of records . Re- quests for copies of Commission records available through the Commis- sion's public reference facilities , in- cluding those listed in appendix A to this section , may be made directly to the appropriate facility ...
Page 58
... copy ( or within such extended period as may be permitted in accordance with para- graph ( d ) ( 7 ) of this section ) whether to comply with such request , and shall immediately notify the person making such request of such ...
... copy ( or within such extended period as may be permitted in accordance with para- graph ( d ) ( 7 ) of this section ) whether to comply with such request , and shall immediately notify the person making such request of such ...
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Common terms and phrases
48 Stat affiliates agency amount applicable assets balance sheet broker caption cash chapter cial clude column Commis Commission Commission's copy Counsel curities dealer debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees Financial Data Schedule financial statements fiscal Form funds hearing officer income income statement interest Investment Company Act investors issuance issued istered istrant istration statement Item market risk material ment offering price paragraph party payment period post-effective amendment preferred stock prior pro forma proceeding prospectus purchase pursuant to Rule pursuant to section quired record registrant's registration statement Regulation relating repurchase agreements request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof underwriter unit investment trust
Popular passages
Page 208 - 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 156 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Page 27 - ... (b) For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Page 439 - ... at least 80 percent of the total combined voting power of all classes of stock entitled to vote, and at least 80 percent of the total number of shares of all other classes of stock (except nonvoting stock which is limited and preferred as to dividends...
Page 116 - ... particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
Page 88 - ... (7) Investigatory records compiled for law enforcement purposes but only to the extent that the production of such records would (A) interfere with enforcement proceedings, (B) deprive a person of a right to a fair trial or an impartial adjudication, (C) constitute an unwarranted invasion of personal privacy, (D) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency...
Page 50 - Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.
Page 48 - ... or coerce others to patronize or contribute, either to the success of private business ventures, or to charitable enterprises. He should, therefore, not enter into such private business, or pursue such a course of conduct, as would justify such suspicion, nor use the power of his office or the influence of his name to promote the business interests of others...
Page 141 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Page 490 - 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...