Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexU.S. General Services Administration, National Archives and Records Service, Office of the Federal Register, 1972 - Administrative law |
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Page 76
... matters under the Securities Act of 1933 arising from or pertaining to material filed pursuant to the requirements of that Act , except such material filed by investment companies registered under the Investment Company Act of 1940 ...
... matters under the Securities Act of 1933 arising from or pertaining to material filed pursuant to the requirements of that Act , except such material filed by investment companies registered under the Investment Company Act of 1940 ...
Page 77
... matters arising under the Investment Advisers Act of 1940 . ( d ) The Director is responsible for the institution of administrative and injunctive actions arising ... matter of 77 Chapter 11 - Securities and Exchange Commission $ 200 . 21.
... matters arising under the Investment Advisers Act of 1940 . ( d ) The Director is responsible for the institution of administrative and injunctive actions arising ... matter of 77 Chapter 11 - Securities and Exchange Commission $ 200 . 21.
Page 80
... matter of first impression , or involves a matter of enforcement policy or questions involving statutes other than those administered by the Commission , or may have an effect on prior judicial precedent or pending litigation ...
... matter of first impression , or involves a matter of enforcement policy or questions involving statutes other than those administered by the Commission , or may have an effect on prior judicial precedent or pending litigation ...
Page 82
... matter to the Commission . ( xx ) Section 13 ( d ) , 15 U.S.C. 79m ( d ) ; ( Secs . 1 , 2 , 76 Stat . 394 , 395 ; 15 U.S.C. ( xxi ) Section 13 ( e ) , 15 U.S.C. 79m 78d - 1 , 78d - 2 129 F.R. 15283 , Nov. 14 , 1964 , as amended at 31 ...
... matter to the Commission . ( xx ) Section 13 ( d ) , 15 U.S.C. 79m ( d ) ; ( Secs . 1 , 2 , 76 Stat . 394 , 395 ; 15 U.S.C. ( xxi ) Section 13 ( e ) , 15 U.S.C. 79m 78d - 1 , 78d - 2 129 F.R. 15283 , Nov. 14 , 1964 , as amended at 31 ...
Page 88
... matter to support of motions or petitions addressed the Commission . to the Commission . ( 15 U.S.C. 78d , 78d - 1 ) ... matter to the Commission . termining that the hearing examiner did ( Secs . 1 , 2 , 76 Stat . 394 , 395 ; 15 U.S.C. ...
... matter to support of motions or petitions addressed the Commission . to the Commission . ( 15 U.S.C. 78d , 78d - 1 ) ... matter to the Commission . termining that the hearing examiner did ( Secs . 1 , 2 , 76 Stat . 394 , 395 ; 15 U.S.C. ...
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Common terms and phrases
addition affiliates amended amount appear application appropriate assets Authority balance basis broker caption certificate chapter Column Commission commodity companies contained contract market copies cost customers dealer deemed deposition determining Director distribution documents effective employee evidence Exchange Exchange Act exemption fact filed furnished futures given Government hearing held holders holding included income interest investment issued issuer listed loss material matter means ment merchant notice offering officer otherwise paragraph party period person position practice principal prior proceeding proposed prospectus proxy purchase pursuant reasonable received record reference registration statement regulations relating request respect rules schedule securities securities exchange separately shares sheet shown sion solicitation specified Stat subsidiaries term thereof tion trading transactions trust United unless written
Popular passages
Page 61 - 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 61 - ... 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 162 - 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 164 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...
Page 179 - ... 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 53 - ... 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 294 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant in the State of Oklahoma.
Page 42 - 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 57 - A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family,, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public information.
Page 179 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before buying or selling the security registered. (o) The term "officer...