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 63
... Registration statement providing financial 6 and other information concerning securi- ties offered for public sale , filed under Regulation C ( 17 CFR 230.400 et seq . ) . Prospectuses ( selling circulars ) in connec- 10 tion with ...
... Registration statement providing financial 6 and other information concerning securi- ties offered for public sale , filed under Regulation C ( 17 CFR 230.400 et seq . ) . Prospectuses ( selling circulars ) in connec- 10 tion with ...
Page 65
... Statement by a person employed or re- | 12 ( 1 ) tained by a registered ... registration as investment 203 ( c ) , 204 adviser or to amend or supplement ... registration of investment 8 ( a ) , 8 ( b ) company , and registration statement ...
... Statement by a person employed or re- | 12 ( 1 ) tained by a registered ... registration as investment 203 ( c ) , 204 adviser or to amend or supplement ... registration of investment 8 ( a ) , 8 ( b ) company , and registration statement ...
Page 119
... registration statement or letter of notification is pending or during the first 60 days after its effective date . This prohibition shall not apply to : ( 1 ) A security which is the subject of a pending registration statement filed on ...
... registration statement or letter of notification is pending or during the first 60 days after its effective date . This prohibition shall not apply to : ( 1 ) A security which is the subject of a pending registration statement filed on ...
Page 155
... registration statement , properly directed in the case of tele- graphic notice to the address given in such statement . In addition , if such proceeding is commenced within 90 days after the registration statement has become effective ...
... registration statement , properly directed in the case of tele- graphic notice to the address given in such statement . In addition , if such proceeding is commenced within 90 days after the registration statement has become effective ...
Page 227
... statement . ( d ) The age of the registrant's most recent audited financial statements in- cluded in a registration statement filed under the Securities Act of 1933 or filed on Form 10 and Form 10 - SB ( 17 CFR 249.210 ) under the ...
... statement . ( d ) The age of the registrant's most recent audited financial statements in- cluded in a registration statement filed under the Securities Act of 1933 or filed on Form 10 and Form 10 - SB ( 17 CFR 249.210 ) under the ...
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.