The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1981 - 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 13
... period between the date of the most recent certified statement of financial condition filed with the Commission ( or the beginning of the fiscal year im- mediately following the effective date of this rule but in no event more than 1 ...
... period between the date of the most recent certified statement of financial condition filed with the Commission ( or the beginning of the fiscal year im- mediately following the effective date of this rule but in no event more than 1 ...
Page 24
... period of his professional engagement to examine the financial statements and schedules being reported on , at the date of his report or during the period covered by the financial state- ments , he or his firm or a member thereof was ...
... period of his professional engagement to examine the financial statements and schedules being reported on , at the date of his report or during the period covered by the financial state- ments , he or his firm or a member thereof was ...
Page 42
... period of 30 days or such lesser period as the designated self - regulatory orga- nization and the Commission may de- termine ; ( iv ) Such exemption shall not be al- lowed more than once in any 12 month period ; and ( v ) At all times ...
... period of 30 days or such lesser period as the designated self - regulatory orga- nization and the Commission may de- termine ; ( iv ) Such exemption shall not be al- lowed more than once in any 12 month period ; and ( v ) At all times ...
Page 47
... period of five years from the date thereof and shall be readily accessible during the first 2 years of the 5 - year period . All such books and records shall be open to inspection by any representative of the Commission or the United ...
... period of five years from the date thereof and shall be readily accessible during the first 2 years of the 5 - year period . All such books and records shall be open to inspection by any representative of the Commission or the United ...
Page 50
... period ( as de- scribed in § 1.35 ( g ) ) , price , quantity , commodity and future , and shall clear- ly identify the opposite floor broker or floor trader with whom such transac- tion was executed , and the opposite clearing member ...
... period ( as de- scribed in § 1.35 ( g ) ) , price , quantity , commodity and future , and shall clear- ly identify the opposite floor broker or floor trader with whom such transac- tion was executed , and the opposite clearing member ...
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Common terms and phrases
48 Stat action Administrative Law Judge affiliates aggregate amended amount applicant or registrant appropriate assets authority balance sheet broker caption cash certificate clude Column Commis Commission's Commodity Exchange Act commodity pool commodity trading advisor Company Act contract market copies costs curities dealer deemed demand note determination Director disclosure documents effective date employee equity exemption Federal fees financial statements fiscal futures commission merchant futures contract income statement initial decision interest Investment Company issue issuer Item material matter ment mission notice notify offering sheet operations option otherwise paragraph party percent period person prior procedures proceeding prospectus purchase pursuant to section quired record regis registrant's registration statement regulations request rules schedule Securities Exchange Act sion specified suant subordination agreement Subpart subpoena subsidiaries term thereof thereto tion trading transactions underwriter unless
Popular passages
Page 179 - 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 144 - Parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any books, documents or other tangible things and the identity and location of persons having knowledge of any discoverable matter.
Page 114 - All objections made at the time of the examination to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the officer upon the deposition. Evidence objected to shall be taken subject to the objections.
Page 393 - 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 371 - ... that the witness is at a greater distance than 100 miles from the place of trial or hearing, or is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or...
Page 267 - For the purpose of any investigation or any other proceeding under this act, 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, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Page 371 - ... such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Page 362 - The signature of an attorney constitutes a certificate by him that he has read the pleading; that to the best of his knowledge, information, and belief there is good ground to support it; and that it is not interposed for delay.
Page 202 - ... 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 115 - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.