The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 2002 - 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 13
... audits relating to the Commis- sion's programs and operations . An in- vestigation seeks to detect and prevent waste ... audit seeks to deter- mine whether : ( 1 ) Program goals and results identi- fied in 13 Securities and Exchange ...
... audits relating to the Commis- sion's programs and operations . An in- vestigation seeks to detect and prevent waste ... audit seeks to deter- mine whether : ( 1 ) Program goals and results identi- fied in 13 Securities and Exchange ...
Page 14
... audit and investigative agencies , such as the Department of Justice and the Executive Council on Integrity and Ef- ficiency . ( e ) Subpoenas issued in the course of an audit or investigation conducted by the Office of the Inspector ...
... audit and investigative agencies , such as the Department of Justice and the Executive Council on Integrity and Ef- ficiency . ( e ) Subpoenas issued in the course of an audit or investigation conducted by the Office of the Inspector ...
Page 19
... auditing matters arising in the admin- istration of the federal securities laws . The Chief Accountant oversees the ac- counting profession's standard - setting and self - regulatory organizations , de- velops or supervises the ...
... auditing matters arising in the admin- istration of the federal securities laws . The Chief Accountant oversees the ac- counting profession's standard - setting and self - regulatory organizations , de- velops or supervises the ...
Page 20
... audit . The Associate Executive Director of the Office of the Comptroller , and his or her designees , serve as liaison to the Commission be- fore the Office of Management and Budget and Congressional Appropria- tions Committees on ...
... audit . The Associate Executive Director of the Office of the Comptroller , and his or her designees , serve as liaison to the Commission be- fore the Office of Management and Budget and Congressional Appropria- tions Committees on ...
Page 71
... audit report ( fiscal or calendar year basis ) ( Form X - 17A - 5 ) . ( Non - public ) Supplemental report detailing Securities Investor Protection Corporation assessment payment or overpayments ( Rule 17a - 5 ) . ( Non - public ) ...
... audit report ( fiscal or calendar year basis ) ( Form X - 17A - 5 ) . ( Non - public ) Supplemental report detailing Securities Investor Protection Corporation assessment payment or overpayments ( Rule 17a - 5 ) . ( Non - public ) ...
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Common terms and phrases
48 Stat accounting affiliate agency aggregate amount applicable Arthur Andersen LLP assets audit client balance sheet cash chapter cial clude column Commis Commission Commission's compensation copy Counsel curities dealer debt deemed Director disclosed disclosure dividends document effective date employee entity equity erwise exemption Federal fees financial statements fiscal foreign Form hearing officer income income statement interest Investment Company Act investors issuance issued istered istrant istration statement market risk material ment options party period person post-effective amendment preferred stock prior pro forma proceeding prospectus purchase pursuant to Rule pursuant to section quired record registrant's registration statement Regulation request respect rities roll-up transaction schedule secu Securities Act Securities Exchange Act security holders sion small business issuer spectus suant subpart subsidiaries term thereof underwriter unit investment trust
Popular passages
Page 168 - 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 33 - ... (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 124 - ... 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 569 - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.
Page 158 - Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law.
Page 152 - ... (1) consult a person or party on a fact in issue, unless on notice and opportunity for all parties to participate; or (2) be responsible to or subject to the supervision or direction of an employee or agent engaged in the performance of investigative or prosecuting functions for an agency.
Page 56 - 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 537 - 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 96 - ... (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 81 - ... includes the whole or a part of an agency rule, order, license, sanction, relief, or the equivalent or denial thereof, or failure to act; and (14) "ex parte communication" means an oral or written communication not on the public record with respect to which reasonable prior notice to all parties is not given, but it shall not include requests for status reports on any matter or proceeding covered by this subchapter.