The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1999 - 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 7
... Employees and Former Members and Employees of the Commission 200.735-1 Purpose . 200.735-2 Policy . 200.735-3 General provisions . 200.735-4 Outside employment and activi- ties . 200.735-5 Securities transactions . 200.735-6 Action in ...
... Employees and Former Members and Employees of the Commission 200.735-1 Purpose . 200.735-2 Policy . 200.735-3 General provisions . 200.735-4 Outside employment and activi- ties . 200.735-5 Securities transactions . 200.735-6 Action in ...
Page 14
violations of federal statutes or regula- tions by contractors and Commission employees or the Standards Of Ethical Conduct For Employees of the Execu- tive Branch . An audit seeks to deter- mine whether : ( 1 ) Program goals and ...
violations of federal statutes or regula- tions by contractors and Commission employees or the Standards Of Ethical Conduct For Employees of the Execu- tive Branch . An audit seeks to deter- mine whether : ( 1 ) Program goals and ...
Page 19
... employee misconduct to the Office of the Inspec- tor General , except for matters involv- ing alleged professional misconduct ul- timately referable to state professional boards or societies . ( 3 ) Refer complaints that appear to ...
... employee misconduct to the Office of the Inspec- tor General , except for matters involv- ing alleged professional misconduct ul- timately referable to state professional boards or societies . ( 3 ) Refer complaints that appear to ...
Page 20
... employee recognition ; employee training and ca- reer development ; employee and labor relations ; personnel management eval- uation ; employee benefits and coun- seling ; and the processing and mainte- nance of employee records . OAPM ...
... employee recognition ; employee training and ca- reer development ; employee and labor relations ; personnel management eval- uation ; employee benefits and coun- seling ; and the processing and mainte- nance of employee records . OAPM ...
Page 34
... employee does not and will not serve in any capacity directly re- lated to providing investment advice to , or acting as depositor for , any reg- istered investment company , or acting as principal underwriter for any reg- istered open ...
... employee does not and will not serve in any capacity directly re- lated to providing investment advice to , or acting as depositor for , any reg- istered investment company , or acting as principal underwriter for any reg- istered open ...
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Common terms and phrases
48 Stat affiliates agency amount applicable assets balance sheet broker-dealers cash ceedings chapter cial clude column Commis Commission Commission's copies Counsel curities debt deemed determine Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees filed pursuant financial statements fiscal Form grant hearing officer income income statement interest Investment Advisers Investment Company Act investors issuance issue istered istrant istration statement Item market risk material ment mission paragraph party period person post-effective amendment preferred stock prior pro forma proceeding prospectus purchase pursuant to Rule pursuant to section quired records 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 spectus suant subpart subsidiaries term thereof underwriter unit investment trust
Popular passages
Page 168 - 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 40 - 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 223 - 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 67 - ... 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 64 - ... could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, including a State, local, or foreign agency or authority or any private institution which furnished information on a confidential basis...
Page 66 - ... (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 155 - ... 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 126 - ... 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 61 - ... 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...
Page 222 - 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 shares, by contract, or otherwise.