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 31
... specified , Part IIB of Form X - 17A - 5 ( § 249.617 of this chapter ) and such other financial and operational information as shall be specified . ( ii ) Pursuant to §240.17a - 12 ( n ) of this chapter , to consider applications by OTC ...
... specified , Part IIB of Form X - 17A - 5 ( § 249.617 of this chapter ) and such other financial and operational information as shall be specified . ( ii ) Pursuant to §240.17a - 12 ( n ) of this chapter , to consider applications by OTC ...
Page 33
... specified in any such demand . ( 9 ) To administer the provisions of Section 24 ( d ) of the Securities Ex- change Act of 1934 ( 15 U.S.C. 78x ( d ) ) . ( 10 ) To institute subpoena enforce- ment proceedings in federal court to seek an ...
... specified in any such demand . ( 9 ) To administer the provisions of Section 24 ( d ) of the Securities Ex- change Act of 1934 ( 15 U.S.C. 78x ( d ) ) . ( 10 ) To institute subpoena enforce- ment proceedings in federal court to seek an ...
Page 37
... specified in the notice , and the Director believes that the matter pre- sents no significant issues that have not been previously settled by the Commission and it does not appear to the Director to be necessary in the public interest ...
... specified in the notice , and the Director believes that the matter pre- sents no significant issues that have not been previously settled by the Commission and it does not appear to the Director to be necessary in the public interest ...
Page 60
... specified in this paragraph , the time limits prescribed in either paragraphs ( d ) ( 5 ) or ( 6 ) of this section ... specify a date that would result in an extension for more than ten busi- ness days , except as provided in para- graph ...
... specified in this paragraph , the time limits prescribed in either paragraphs ( d ) ( 5 ) or ( 6 ) of this section ... specify a date that would result in an extension for more than ten busi- ness days , except as provided in para- graph ...
Page 75
... specified period of time , not exceed- ing 120 days from the date the re- sponse , together with a statement set- ting forth the considerations upon which the request for such treatment is based . If the staff determines that the ...
... specified period of time , not exceed- ing 120 days from the date the re- sponse , together with a statement set- ting forth the considerations upon which the request for such treatment is based . If the staff determines that the ...
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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.