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 7
... Employees and Former Members and Employees of the Commission 200.735-1 Purpose . 200.735-2 Policy . 200.735-3 General provisions . 200.735-4 Outside employment and activi- ties . 200.735-5 Securities transactions . 200.735-6 Action in ...
... Employees and Former Members and Employees of the Commission 200.735-1 Purpose . 200.735-2 Policy . 200.735-3 General provisions . 200.735-4 Outside employment and activi- ties . 200.735-5 Securities transactions . 200.735-6 Action in ...
Page 19
... employee misconduct to the Office of the Inspec- tor General , except for matters involv- ing alleged professional misconduct ul- timately referable to state professional boards or societies . ( 3 ) Refer complaints that appear to ...
... employee misconduct to the Office of the Inspec- tor General , except for matters involv- ing alleged professional misconduct ul- timately referable to state professional boards or societies . ( 3 ) Refer complaints that appear to ...
Page 20
... employee recognition ; employee training and ca- reer development ; employee and labor relations ; personnel management eval- uation ; employee benefits and counsel- ing ; and the processing and mainte- nance of employee records . OAPM ...
... employee recognition ; employee training and ca- reer development ; employee and labor relations ; personnel management eval- uation ; employee benefits and counsel- ing ; and the processing and mainte- nance of employee records . OAPM ...
Page 33
... employee does not and will not serve in any capacity directly re- lated to providing investment advice to , or acting as depositor for , any reg- istered investment company , or acting as principal underwriter for any reg- istered open ...
... employee does not and will not serve in any capacity directly re- lated to providing investment advice to , or acting as depositor for , any reg- istered investment company , or acting as principal underwriter for any reg- istered open ...
Page 50
... Employees and Former Members and Employees of the Commission , which is set forth in sub- part M of this part 200 , most of which has been in effect for many years , and which was originally codified in 1953 . ( c ) However , in ...
... Employees and Former Members and Employees of the Commission , which is set forth in sub- part M of this part 200 , most of which has been in effect for many years , and which was originally codified in 1953 . ( c ) However , in ...
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Common terms and phrases
48 Stat affiliates agency aggregate 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 filed pursuant 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...