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 6
... requested records . 200.305 Special procedure : Medical records . 200.306 Requests for amendment or correc- tion of records . 200.307 Review of requests for amendment or correction . 200.308 Appeal of initial adverse agency de ...
... requested records . 200.305 Special procedure : Medical records . 200.306 Requests for amendment or correc- tion of records . 200.307 Review of requests for amendment or correction . 200.308 Appeal of initial adverse agency de ...
Page 18
... request or at the request of any division direc- tor or office head , or on his or her own motion , with respect to interpretations involving questions of law ; for the con- duct of administrative proceedings re- lating to the ...
... request or at the request of any division direc- tor or office head , or on his or her own motion , with respect to interpretations involving questions of law ; for the con- duct of administrative proceedings re- lating to the ...
Page 24
... request of the issuer the effective date of registration statements filed pursuant to section 12 ( g ) of the Act ( 15 U.S.C. 781 ( g ) ) . ( 7 ) To issue notices of applications for exemptions and to grant exemp- tions under section 12 ...
... request of the issuer the effective date of registration statements filed pursuant to section 12 ( g ) of the Act ( 15 U.S.C. 781 ( g ) ) . ( 7 ) To issue notices of applications for exemptions and to grant exemp- tions under section 12 ...
Page 25
( 8 ) At the request of the issuer to ac- celerate the termination of registra- tion of any class of equity ... requests for exemptions from : ( i ) Tender offer provisions of sections 13 ( e ) and 14 ( d ) ( 1 ) through 14 ( d ) ( 7 ) ...
( 8 ) At the request of the issuer to ac- celerate the termination of registra- tion of any class of equity ... requests for exemptions from : ( i ) Tender offer provisions of sections 13 ( e ) and 14 ( d ) ( 1 ) through 14 ( d ) ( 7 ) ...
Page 28
... request from the appro- priate regulatory agency a copy of the report of any examination of any such clearing agency , transfer agent , or mu- nicipal securities dealer conducted by such appropriate regulatory agency and any data ...
... request from the appro- priate regulatory agency a copy of the report of any examination of any such clearing agency , transfer agent , or mu- nicipal securities dealer conducted by such appropriate regulatory agency and any data ...
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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...