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, 2002 - 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 10
... grants to the Commis- sion rule - making power with respect to fraudulent and other activities of in- vestment advisers . ( g ) Chapter 11 of the Bankruptcy Code . Chapter 11 of the Bankruptcy Code ( 11 U.S.C. 1101 et seq . ) provides ...
... grants to the Commis- sion rule - making power with respect to fraudulent and other activities of in- vestment advisers . ( g ) Chapter 11 of the Bankruptcy Code . Chapter 11 of the Bankruptcy Code ( 11 U.S.C. 1101 et seq . ) provides ...
Page 16
... grants or denies access to nonpublic information in the Commis- sion's enforcement files under § 240.24c- 1 of this chapter ; provided that access under that section shall be granted only with the concurrence of the head of the division ...
... grants or denies access to nonpublic information in the Commis- sion's enforcement files under § 240.24c- 1 of this chapter ; provided that access under that section shall be granted only with the concurrence of the head of the division ...
Page 22
... grant applications for con- fidential treatment of contract provi- sions pursuant to Rule 406 ( § 230.406 of this chapter ) under the Act ; to issue orders scheduling hearings on such ap- plications and to deny 22 § 200.27a 17 CFR Ch ...
... grant applications for con- fidential treatment of contract provi- sions pursuant to Rule 406 ( § 230.406 of this chapter ) under the Act ; to issue orders scheduling hearings on such ap- plications and to deny 22 § 200.27a 17 CFR Ch ...
Page 24
... grant and deny applications for confidential treatment filed pursu- ant to section 24 ( b ) of the Act ( 15 U.S.C. 78x ( b ) ) and Rule 24b - 2 there- under ( § 240.24b - 2 of this chapter ) ; ( ii ) To revoke a grant of any such ap ...
... grant and deny applications for confidential treatment filed pursu- ant to section 24 ( b ) of the Act ( 15 U.S.C. 78x ( b ) ) and Rule 24b - 2 there- under ( § 240.24b - 2 of this chapter ) ; ( ii ) To revoke a grant of any such ap ...
Page 25
... grant requests for exemptions from : ( i ) Tender offer provisions of sections 13 ( e ) and 14 ( d ) ( 1 ) through 14 ( d ) ( 7 ) of the Act ( 15 U.S.C. 78m ( e ) and 78n ( d ) ( 1 ) through 78n ( d ) ( 7 ) ) , Rule 13e - 3 ( § 240.13e ...
... grant requests for exemptions from : ( i ) Tender offer provisions of sections 13 ( e ) and 14 ( d ) ( 1 ) through 14 ( d ) ( 7 ) of the Act ( 15 U.S.C. 78m ( e ) and 78n ( d ) ( 1 ) through 78n ( d ) ( 7 ) ) , Rule 13e - 3 ( § 240.13e ...
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Common terms and phrases
48 Stat accounting affiliate agency aggregate amount applicable Arthur Andersen LLP assets audit client balance sheet cash chapter cial clude column Commis Commission Commission's compensation copy Counsel curities dealer debt deemed Director disclosed disclosure dividends document effective date employee entity equity erwise exemption Federal fees financial statements fiscal Form hearing officer income income statement interest Investment Company Act investors issuance issued istered istrant istration statement Item market risk material ment options party period person post-effective amendment preferred stock prior proceeding prospectus purchase pursuant to Rule pursuant to section quired record registrant's registration statement Regulation repurchase agreements request respect rities roll-up transaction schedule secu Securities Act Securities Exchange Act security holders sion small business issuer spectus suant subpart subsidiaries term thereof underwriter unit investment trust
Popular passages
Page 162 - 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 220 - ... 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 489 - Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory, where the issuer of such security is a person resident and doing business within, or, if a corporation, incorporated by and doing business within, such State or Territory.
Page 477 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Page 28 - 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 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 221 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
Page 27 - For the purpose of any investigation or any other proceeding under this act, 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, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Page 151 - ... to the best of the signer's knowledge, information, and belief formed after reasonable inquiry it is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law, and that it is not interposed for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.
Page 50 - ... or coerce others to patronize or contribute, either to the success of private business ventures, or to charitable enterprises. He should, therefore, not enter into such private business, or pursue such a course of conduct, as would justify such suspicion, nor use the power of his office or the influence of his name to promote the business interests of others...