The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1970 - 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 set for the filing of proposed findings , conclusions , and orders , the referee will prepare his report , and the same procedure shall be followed thereafter as in proceedings where an oral hearing has been held . ( j ) ...
... period set for the filing of proposed findings , conclusions , and orders , the referee will prepare his report , and the same procedure shall be followed thereafter as in proceedings where an oral hearing has been held . ( j ) ...
Page 21
... period of time in which the parties may indicate their con- sent to the shortened procedure ; at the end of that period , the referee will notify the parties that the shortened procedure will or will not be used . All requests ...
... period of time in which the parties may indicate their con- sent to the shortened procedure ; at the end of that period , the referee will notify the parties that the shortened procedure will or will not be used . All requests ...
Page 25
... period within which interested persons may file with him written arguments based on the evidence received at the hearing . Written argu- ments will not be accepted unless an original and four copies are filed . The period for filing ...
... period within which interested persons may file with him written arguments based on the evidence received at the hearing . Written argu- ments will not be accepted unless an original and four copies are filed . The period for filing ...
Page 26
... period for filing the answer , has requested in writ- ing an opportunity to argue the question of whether the facts alleged constitute grounds for exclusion from membership and privileges ; the respondent shall be afforded a period of ...
... period for filing the answer , has requested in writ- ing an opportunity to argue the question of whether the facts alleged constitute grounds for exclusion from membership and privileges ; the respondent shall be afforded a period of ...
Page 43
... period . During the last two years of such period , the person required to keep such books and records may at his option substitute photographic reproductions thereof on film , together with facilities for the pro- jection of such film ...
... period . During the last two years of such period , the person required to keep such books and records may at his option substitute photographic reproductions thereof on film , together with facilities for the pro- jection of such film ...
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Common terms and phrases
48 Stat account shall include affiliates amended amount annual report application appropriate assets associate companies authority balance sheet broker or dealer broker-dealer caption cash certificate chapter cluded Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities filed pursuant financial statements fiscal funds furnished futures commission merchant income interest investment adviser issued issuer ment Microphoto national securities exchange option otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy purchase pursuant to Rule pursuant to section quired records reference regis registered investment registration statement request respect Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph Subpart subsidiary surplus term thereof thereto tion trading transactions trust underwriter unit investment trusts unless
Popular passages
Page 123 - 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 108 - ... ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other 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 20 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Page 124 - ... upon application and notice, that 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 85 - Executive order to be kept secret in the interest of the national defense or foreign policy; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a...
Page 290 - ... (a) To employ any device, scheme, or artifice to defraud, (b) 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 218 - Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide upon application or on Its own motion in a particular case. (e) Nothing in this section shall affect the obligation to deliver a prospectus pursuant to the provisions of section 5 of the Act by a dealer who is acting as an underwriter with respect to the securities involved or who is engaged in a transaction as to securities constituting the whole or a part of...
Page 142 - 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 109 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Page 29 - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust, within the scope of his employment or office, shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust as well as of such official, agent, or other person.