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 7
... Securities and Exchange Commission 200.601 Purpose . 200.602 Application . 200.603 Definitions . 200.604-200.609 [ Reserved ] 200.610 Self - evaluation . 200.611 Notice . 200.612 200.629 [ Reserved ] 200.630 General prohibitions against ...
... Securities and Exchange Commission 200.601 Purpose . 200.602 Application . 200.603 Definitions . 200.604-200.609 [ Reserved ] 200.610 Self - evaluation . 200.611 Notice . 200.612 200.629 [ Reserved ] 200.630 General prohibitions against ...
Page 8
... securities exchanges and in the over - the - counter markets . ( d ) Investigation of securities frauds , manipulations , and other violations , and the imposition and enforcement of legal sanctions therefor . ( e ) Registration , and ...
... securities exchanges and in the over - the - counter markets . ( d ) Investigation of securities frauds , manipulations , and other violations , and the imposition and enforcement of legal sanctions therefor . ( e ) Registration , and ...
Page 15
... Securities Act of 1933 ( 15 U.S.C. 77a et seq . ) includ- ing the examination and processing of material filed pursuant to the require- ments of that Act ( except such mate- rial filed by investment companies reg- istered under the ...
... Securities Act of 1933 ( 15 U.S.C. 77a et seq . ) includ- ing the examination and processing of material filed pursuant to the require- ments of that Act ( except such mate- rial filed by investment companies reg- istered under the ...
Page 25
... Securities Act of 1933 ( 15 U.S.C. 77a et seq . ) , the Securities Ex- change Act of 1934 ( 15 U.S.C. 78a et seq . ) and the Trust Indenture Act of 1939 ( 15 U.S.C. 77aaa et seq . ) pertaining to in- vestment companies registered under ...
... Securities Act of 1933 ( 15 U.S.C. 77a et seq . ) , the Securities Ex- change Act of 1934 ( 15 U.S.C. 78a et seq . ) and the Trust Indenture Act of 1939 ( 15 U.S.C. 77aaa et seq . ) pertaining to in- vestment companies registered under ...
Page 28
... securities dealer whose appropriate regulatory agency is not the Commission , to notify and con- sult with the appropriate regulatory agency for such clearing agency , trans- fer agent , or municipal securities deal- er . ( 24 ) ...
... securities dealer whose appropriate regulatory agency is not the Commission , to notify and con- sult with the appropriate regulatory agency for such clearing agency , trans- fer agent , or municipal securities deal- er . ( 24 ) ...
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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 ceeding 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 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...