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, 1998 - 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 22
... instructions . ( a ) Within the spheres of responsibil- ities heretofore set forth , Division and Office Heads , and all Regional Admin- istrators may issue such definitive in- structions as may be necessary pursu- ant to this section ...
... instructions . ( a ) Within the spheres of responsibil- ities heretofore set forth , Division and Office Heads , and all Regional Admin- istrators may issue such definitive in- structions as may be necessary pursu- ant to this section ...
Page 23
... instructions as to fl- nancial statements contained in forms adopted under the Act : ( 1 ) To permit the omission of one or more financial statements therein re- quired or the filing in substitution therefor of appropriate statements of ...
... instructions as to fl- nancial statements contained in forms adopted under the Act : ( 1 ) To permit the omission of one or more financial statements therein re- quired or the filing in substitution therefor of appropriate statements of ...
Page 24
... instructions as to fi- nancial statements contained in forms adopted under the Act : ( 1 ) To extend the time for filing or to permit the ommission of one or more financial statements therein required or the filing in substitution ...
... instructions as to fi- nancial statements contained in forms adopted under the Act : ( 1 ) To extend the time for filing or to permit the ommission of one or more financial statements therein required or the filing in substitution ...
Page 191
... Instructions for filing fees . Payment of filing fees specified by the following rules shall be made ac- cording to the directions listed in this part : 230.111 ( 17 CFR 230.111 ) , §240.0-9 ( 17 CFR 240-0.9 ) , $ 260.7a - 10 ( 17 CFR ...
... Instructions for filing fees . Payment of filing fees specified by the following rules shall be made ac- cording to the directions listed in this part : 230.111 ( 17 CFR 230.111 ) , §240.0-9 ( 17 CFR 240-0.9 ) , $ 260.7a - 10 ( 17 CFR ...
Page 192
... instructions to ensure that fees transferred are re- ceived and identifiable . Specific infor- mation required for transmission to the Mellon Bank is listed below . Where an item is in BOLDFACE TYPE , the entry should be made exactly as ...
... instructions to ensure that fees transferred are re- ceived and identifiable . Specific infor- mation required for transmission to the Mellon Bank is listed below . Where an item is in BOLDFACE TYPE , the entry should be made exactly as ...
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Common terms and phrases
48 Stat 54 Stat 90 Stat accounting administrative affiliates agency amended amount applicable appropriate assets balance sheet broker caption cash chapter cial clude column Commis Commission Commission's copy Counsel curities dealers debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees filed pursuant financial statements Form hearing officer Holding Company income income statement interest investors issuance issued istered istrant Item market risk material ment mission nancial paragraph party payment period person preferred stock prior pro forma proceeding prospectus pursuant to Rule pursuant to section quired recent fiscal record registrant's registration statement Regulation repurchase agreements request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof underwriter
Popular passages
Page 27 - ... (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 160 - 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 512 - ... acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.
Page 120 - ... 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 151 - Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law.
Page 50 - 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 145 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Page 54 - ... (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 54 - ... 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 459 - Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter.