Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1999 - Administrative law Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Page 20
... received from individual investors and assuring that regulated individual and entities process and respond to such com- plaints . ( c ) Providing information to inves- tors who inquire about individuals and entities regulated by the ...
... received from individual investors and assuring that regulated individual and entities process and respond to such com- plaints . ( c ) Providing information to inves- tors who inquire about individuals and entities regulated by the ...
Page 40
... received , to issue orders approving proposed plans of disgorgement pursuant to Rule 613 of the Commission's Rules of Practice , §201.613 of this chapter . Upon the mo- tion of the staff for good cause shown , to approve the publication ...
... received , to issue orders approving proposed plans of disgorgement pursuant to Rule 613 of the Commission's Rules of Practice , §201.613 of this chapter . Upon the mo- tion of the staff for good cause shown , to approve the publication ...
Page 54
... received by or given to the Commission in confidence , or any contents of per- sonnel and medical and similar files . In addition , certain materials which are considered to be nonpublic , as de- scribed in paragraph ( b ) of this ...
... received by or given to the Commission in confidence , or any contents of per- sonnel and medical and similar files . In addition , certain materials which are considered to be nonpublic , as de- scribed in paragraph ( b ) of this ...
Page 58
... received by the Commis- sion's staff , may appeal to the General Counsel the adverse determination or the failure to respond . ( i ) The appeal shall be in writing , shall be clearly and prominently iden- tified on the envelope or other ...
... received by the Commis- sion's staff , may appeal to the General Counsel the adverse determination or the failure to respond . ( i ) The appeal shall be in writing , shall be clearly and prominently iden- tified on the envelope or other ...
Page 60
... received for purposes of paragraph ( d ) of this section only when they have 17 CFR Ch . II ( 4-1-99 Edition ) been actually received by the Freedom of Information Act Officer . The Com- mission will not entertain any appeal from an ...
... received for purposes of paragraph ( d ) of this section only when they have 17 CFR Ch . II ( 4-1-99 Edition ) been actually received by the Freedom of Information Act Officer . The Com- mission will not entertain any appeal from an ...
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Common terms and phrases
48 Stat administrative administrative law judge affiliates agency amount applicable assets balance sheet broker broker-dealers cash ceedings chapter cial clude column Commis Commission's copy Counsel curities dealer debt deemed determine Director disclosed disclosure document effective date employee equity erwise executive exemption Federal fees filed pursuant financial statements fiscal Form grant hearing officer income income statement interest Investment Advisers Investment Company Act investors issuance issue istered istrant istration statement Item market risk material ment offering paragraph party period person post-effective amendment preferred stock prior proceeding prospectus pursuant to Rule pursuant to section quired records registrant's registration statement Regulation request respect rities secu Securities Act Securities and Exchange Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof tion underwriter unit investment trust
Popular passages
Page 164 - 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 218 - ... under common control with, the person specified. (b) Control. The term "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 491 - affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or Indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified.
Page 32 - 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 219 - 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 59 - ... for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days. As used in this subparagraph, unusual circumstances...
Page 56 - ... could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency or authority or any private institution which furnished information on a confidential basis...
Page 58 - ... (6) (A) Each agency, upon any request for records made under paragraph (1), (2), or (3) of this subsection, shall— (i) determine within ten days (excepting Saturdays, Sundays, and legal public holidays) after the receipt of any such request whether to comply with such request and shall immediately notify the person making such request of such determination and the reasons therefor, and of the right of such person to appeal to the head of the agency any adverse determination...
Page 122 - ... 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 151 - ... to the best of the signer's knowledge, information, and belief formed after reasonable inquiry it is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law, and that it is not interposed for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.