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. |
From inside the book
Results 1-5 of 100
Page 12
... upon motions ; and ( 8 ) Unless waived by the parties , pre- pare an initial decision containing the conclusions as to the factual and legal issues presented , and issue an appro- priate order . 12 §200.13a 17 CFR Ch . II ( 4-1-98 Edition )
... upon motions ; and ( 8 ) Unless waived by the parties , pre- pare an initial decision containing the conclusions as to the factual and legal issues presented , and issue an appro- priate order . 12 §200.13a 17 CFR Ch . II ( 4-1-98 Edition )
Page 13
... presented , and issue an appro- priate order . ( b ) The Chief Administrative Law Judge performs the duties of an Admin- istrative Law Judge under the Admin- istrative Procedure Act and the duties delegated to him or her by the Com ...
... presented , and issue an appro- priate order . ( b ) The Chief Administrative Law Judge performs the duties of an Admin- istrative Law Judge under the Admin- istrative Procedure Act and the duties delegated to him or her by the Com ...
Page 86
... presented . The acknowledge- ment will describe the request received and indicate when it is anticipated that action will be taken on the re- quest . No acknowledgement will be sent when the request for amendment or correction will be ...
... presented . The acknowledge- ment will describe the request received and indicate when it is anticipated that action will be taken on the re- quest . No acknowledgement will be sent when the request for amendment or correction will be ...
Page 111
... presented as a contribution from employees receiv- ing less salary than himself or herself . An employee shall not make a dona- tion as a gift to an employee in a supe- rior official position ( 5 U.S.C. 7351 ) . However , this paragraph ...
... presented as a contribution from employees receiv- ing less salary than himself or herself . An employee shall not make a dona- tion as a gift to an employee in a supe- rior official position ( 5 U.S.C. 7351 ) . However , this paragraph ...
Page 136
... presented by an attorney or other representative who enters an appearance and participates in the proceeding . See appendix , 17 CFR 201.60 . ( b ) The fact that the Commission has not identified a type of proceeding as an adversary ...
... presented by an attorney or other representative who enters an appearance and participates in the proceeding . See appendix , 17 CFR 201.60 . ( b ) The fact that the Commission has not identified a type of proceeding as an adversary ...
Other editions - View all
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.