The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1968 - 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 22
... reference in the referee's report or tentative order or otherwise , of matters so noticed , and shall be given adequate opportunity to show that such facts are erroneously noticed . ( 8 ) Offer or proof . Whenever evi- dence is excluded ...
... reference in the referee's report or tentative order or otherwise , of matters so noticed , and shall be given adequate opportunity to show that such facts are erroneously noticed . ( 8 ) Offer or proof . Whenever evi- dence is excluded ...
Page 87
... reference room in its principal office at Washington , D.C. , and public reference facilities in the New York and Chicago Regional Offices . Some facilities for public use are also provided in other regional and branch offices . In ...
... reference room in its principal office at Washington , D.C. , and public reference facilities in the New York and Chicago Regional Offices . Some facilities for public use are also provided in other regional and branch offices . In ...
Page 89
... reference room at the principal offices of the Commission in Washington , D.C. Inquiries in gen- eral , and orders for copies of Commission records may be made to the public ref- erence room personally , by telephone or by mail . also ...
... reference room at the principal offices of the Commission in Washington , D.C. Inquiries in gen- eral , and orders for copies of Commission records may be made to the public ref- erence room personally , by telephone or by mail . also ...
Page 116
... reference . Confidential treatment of certain matters . Review by the Commission of de- terminations at a delegated level . Table I Table II AUTHORITY : The provisions of this Part 201 issued under secs . 19 , 23 , 48 Stat . 85 , as ...
... reference . Confidential treatment of certain matters . Review by the Commission of de- terminations at a delegated level . Table I Table II AUTHORITY : The provisions of this Part 201 issued under secs . 19 , 23 , 48 Stat . 85 , as ...
Page 118
... reference to the manner in which inter- ested persons shall be afforded the op- portunity to participate in such proceed- ings ; ( 2 ) reference to the authority under which the rule is proposed ; and ( 3 ) the terms or substance of the ...
... reference to the manner in which inter- ested persons shall be afforded the op- portunity to participate in such proceed- ings ; ( 2 ) reference to the authority under which the rule is proposed ; and ( 3 ) the terms or substance of the ...
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Common terms and phrases
48 Stat affiliates aggregate amended amount annual report application appropriate assets authorized balance sheet broker or dealer caption cash certificates Column Commis Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents employee equity securities exemption financial statements fiscal furnished futures commission merchant holding company included income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus proxy proxy statement purchase pursuant to section quired records reference regis registration statement regulations request respect rules schedule section 12 secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified stock options suant Subpart subsidiaries surplus term thereof thereto tion trading transactions trust underwriter voting trustees
Popular passages
Page 110 - ... ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other 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 23 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Page 87 - Executive order to be kept secret in the interest of the national defense or foreign policy; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a...
Page 333 - ... (a) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Page 326 - 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 374 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting, or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication...
Page 239 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary is a criminal offense.
Page 111 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Page 32 - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person.
Page 143 - 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...