The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 2004 - 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 19
... deemed the General Counsel for purposes of §200.406 . In the absence of the General Counsel and the Solic- itor , the most senior Associate General Counsel available shall be deemed the General Counsel for purposes of $ 200.406 . In the ...
... deemed the General Counsel for purposes of §200.406 . In the absence of the General Counsel and the Solic- itor , the most senior Associate General Counsel available shall be deemed the General Counsel for purposes of $ 200.406 . In the ...
Page 29
... deemed confidential re- garding registered clearing agencies and registered transfer agents ; and ( ii ) To the Department of Treasury , information and documents deemed confidential regarding possible laun- dering of money through or ...
... deemed confidential re- garding registered clearing agencies and registered transfer agents ; and ( ii ) To the Department of Treasury , information and documents deemed confidential regarding possible laun- dering of money through or ...
Page 39
... deemed confidential regarding registered clearing agencies and reg- istered transfer agents ; Provided That , in matters in which the Commission has entered a formal order of investiga- tion , such disclosure shall be made only with the ...
... deemed confidential regarding registered clearing agencies and reg- istered transfer agents ; Provided That , in matters in which the Commission has entered a formal order of investiga- tion , such disclosure shall be made only with the ...
Page 58
... deemed to have been submitted to the Commis- sion in confidence or to be confidential at the instance of the registrant or per- son who has filed such material unless the contrary clearly appears ; and ( ii ) Information contained in ...
... deemed to have been submitted to the Commis- sion in confidence or to be confidential at the instance of the registrant or per- son who has filed such material unless the contrary clearly appears ; and ( ii ) Information contained in ...
Page 77
... deemed to be available for pub- lic inspection and copying together with any written response thereto . NOTE : All letters or other written commu- nications requesting interpretative advice , a no - action position , or an exemption ...
... deemed to be available for pub- lic inspection and copying together with any written response thereto . NOTE : All letters or other written commu- nications requesting interpretative advice , a no - action position , or an exemption ...
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Common terms and phrases
48 Stat accounting affiliates agency amended amount applicable assets audit client balance sheet cash ceeding chapter cial clude column Commis Commission Commission's compensation copy Counsel curities dealer debt deemed determination Director disclosed disclosure dividends document effective date employee entity equity exemption Federal fees financial statements Form Form 8-K graph hearing officer income income statement initial decision interest investors issuance issued istered istrant market risk material ment motion nancial offering operations options paragraph party payment period person prior proceeding prospectus purchase purposes pursuant to Rule pursuant to section quired record registrant's registration statement Regulation repurchase agreements request respect rities roll-up transaction schedule secu Securities Act Securities Exchange Act security holders sion small business issuer specified spectus suant subpart subsidiaries term thereof tion underwriter unit investment trust
Popular passages
Page 247 - 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 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 514 - ... 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 98 - ... (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 126 - ... 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 162 - Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law.
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 54 - ... or coerce others to patronize or contribute, either to the success of private business ventures, or to charitable enterprises. He should, therefore, not enter into such private business, or pursue such a course of conduct, as would justify such suspicion, nor use the power of his office or the influence of his name to promote the business interests of others...
Page 568 - 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 55 - Register for the guidance of the public-- (A) descriptions of its central and field organization and the established places at which, the employees (and in the case of a uniformed service, the members) from whom, and the methods whereby, the public may obtain information, make submittals or requests, or obtain decisions...