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 6
... Records Maintained by the Commis- sion 200.301 Purpose and scope . 200.302 Definitions . 200.303 Times , places and requirements for requests pertaining to individual records in a record system and for the identifica- tion of ...
... Records Maintained by the Commis- sion 200.301 Purpose and scope . 200.302 Definitions . 200.303 Times , places and requirements for requests pertaining to individual records in a record system and for the identifica- tion of ...
Page 12
... record of all ac- tions of the Commission ; and the serv- ice of all instruments of formal Com- mission action . He or she is custodian of the official seal of the Commission , and also has the responsibility for au- thenticating ...
... record of all ac- tions of the Commission ; and the serv- ice of all instruments of formal Com- mission action . He or she is custodian of the official seal of the Commission , and also has the responsibility for au- thenticating ...
Page 17
... Records Service and other Government agencies with respect to the Commis- sion's records and its records manage- ment program . The Office provides filer - support services relating to the Commission's EDGAR system and the receipt of ...
... Records Service and other Government agencies with respect to the Commis- sion's records and its records manage- ment program . The Office provides filer - support services relating to the Commission's EDGAR system and the receipt of ...
Page 28
... record de- struction plans and amendments there- to filed by a national securities ex- change or a national securities associa- tion . ( 34 ) Pursuant to Rule 17d - 2 ( § 240.17d- 2 of this chapter ) to publish notice of plans and plan ...
... record de- struction plans and amendments there- to filed by a national securities ex- change or a national securities associa- tion . ( 34 ) Pursuant to Rule 17d - 2 ( § 240.17d- 2 of this chapter ) to publish notice of plans and plan ...
Page 33
... records in the course of investigations instituted by the Commission pursuant to section 19 ( b ) of the Securities Act of 1933 ( 15 U.S.C. 77s ( b ) ) , section 21 ( b ) of the Secu- rities Exchange Act of 1934 ( 15 U.S.C. 78u ( b ) ...
... records in the course of investigations instituted by the Commission pursuant to section 19 ( b ) of the Securities Act of 1933 ( 15 U.S.C. 77s ( b ) ) , section 21 ( b ) of the Secu- rities Exchange Act of 1934 ( 15 U.S.C. 78u ( b ) ...
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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.