The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1995 - 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
... Registration , and the regulation of certain activities , of brokers ... statement is in effect with respect to such securities , it is unlawful to ... registration statement may be refused or suspended after a hearing if the statement ...
... Registration , and the regulation of certain activities , of brokers ... statement is in effect with respect to such securities , it is unlawful to ... registration statement may be refused or suspended after a hearing if the statement ...
Page 61
... Registration statement providing financial | 6 and other information concerning securi- ties offered for public sale , filed under Regulation C ( 17 CFR 230.400 et seq . ) . Prospectuses ( selling circulars ) in connec- tion with ...
... Registration statement providing financial | 6 and other information concerning securi- ties offered for public sale , filed under Regulation C ( 17 CFR 230.400 et seq . ) . Prospectuses ( selling circulars ) in connec- tion with ...
Page 62
... registration 6 ( a ) or exemption from registration as a na- tional ... statement by public utility holding com- panies providing financial and ... registration statement . Application for an order of the Commis- 5 ( d ) sion declaring ...
... registration 6 ( a ) or exemption from registration as a na- tional ... statement by public utility holding com- panies providing financial and ... registration statement . Application for an order of the Commis- 5 ( d ) sion declaring ...
Page 63
... Statement of eligibility and qualification of 305 , 307 corporations or ... registration as investment 203 ( c ) , 204 adviser or to amend or supplement ... registration of investment 8 ( a ) , 8 ( b ) company , and registration statement ...
... Statement of eligibility and qualification of 305 , 307 corporations or ... registration as investment 203 ( c ) , 204 adviser or to amend or supplement ... registration of investment 8 ( a ) , 8 ( b ) company , and registration statement ...
Page 116
... registration statement or letter of notification is pending or during the first 60 days after its effective date . This prohibition shall not apply to : ( i ) A security which is the subject of a pending registration statement filed ...
... registration statement or letter of notification is pending or during the first 60 days after its effective date . This prohibition shall not apply to : ( i ) A security which is the subject of a pending registration statement filed ...
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Common terms and phrases
48 Stat 54 Stat 90 Stat affiliates agency amount applicable assets balance sheet broker cash chapter cial cluded column Commis Commission Commission's copies costs Counsel curities dealer debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees filed Financial Data Schedule financial statements Form Holding Company income income statement information speci interest Investment Company Act investors issue istered istrant istration statement Item material mation ment offering sheet operations otherwise paragraph participation payment period person preferred stock prior proceeding prospectus purchase pursuant to Rule pursuant to section quired records registrant's registration statement Regulation request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof tion underwriter unit investment trust
Popular passages
Page 158 - 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 121 - 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 31 - ... (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 374 - ... 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 453 - ... 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 113 - ... 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 121 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Page 89 - ... (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 52 - 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 57 - ... in the public interest because furnishing the information can be considered as primarily benefiting the general public.