The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1988 - 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 8
... matters which are the subject of solicitations . The Act also requires dis- closure of the holdings and the trans- actions by officers , directors and large ( 10 % ) holders of equity securities of companies having such securities ...
... matters which are the subject of solicitations . The Act also requires dis- closure of the holdings and the trans- actions by officers , directors and large ( 10 % ) holders of equity securities of companies having such securities ...
Page 13
... matters under the Securities Act of 1933 ( 15 U.S.C. 77a , et seq . ) in- cluding the examination and process- ing of material filed pursuant to the requirements of that Act ( except such material filed by investment compa- nies ...
... matters under the Securities Act of 1933 ( 15 U.S.C. 77a , et seq . ) in- cluding the examination and process- ing of material filed pursuant to the requirements of that Act ( except such material filed by investment compa- nies ...
Page 14
... matters pertaining to invest- ment companies registered under the Investment Company Act of 1940 and pooled investment funds or accounts , the administration of all matters relat- ing to establishing and requiring ad- herence to ...
... matters pertaining to invest- ment companies registered under the Investment Company Act of 1940 and pooled investment funds or accounts , the administration of all matters relat- ing to establishing and requiring ad- herence to ...
Page 17
... matters as have been referred ; or with state or local authorities to whom matters may on occasion be referred ; ( 6 ) Preparing for submission to the General Counsel reports of completed investigations wth recommendations for ...
... matters as have been referred ; or with state or local authorities to whom matters may on occasion be referred ; ( 6 ) Preparing for submission to the General Counsel reports of completed investigations wth recommendations for ...
Page 18
... matters , and the Treas- ury Department and the General Ac- counting Office on financial and pro- gamming matters . ( 11 U.S.C. 901 , 1109 ( a ) ) [ 49 FR 12685 , Mar. 30 , 1984 ] § 200.24a Office of Consumer Affairs and Information ...
... matters , and the Treas- ury Department and the General Ac- counting Office on financial and pro- gamming matters . ( 11 U.S.C. 901 , 1109 ( a ) ) [ 49 FR 12685 , Mar. 30 , 1984 ] § 200.24a Office of Consumer Affairs and Information ...
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Common terms and phrases
48 Stat 54 Stat 76 Stat 90 Stat accounting administrative affiliates amended amount applicable appropriate assets authority balance sheet broker caption chapter cial clude Commis Commission's confidential treatment copies costs Counsel curities dealer deemed determination Director disclosed disclosure document effective date employee equity erwise exemption Federal fees filed pursuant financial statements fiscal Form hearing officer Holding Company income income statement initial decision interest Investment Advisers Investment Company Act issued issuer Item July 15 material matter ment mission notice offering sheet paragraph party period person preferred stock prior proceeding prospectus Public Utility Holding pursuant to Rule pursuant to section quired records regis registrant's registration statement Regulation request respect rities schedule secu Securities Act Securities Exchange Act security holders Sept sion specified suant Subpart subsidiaries thereof thereto tion transactions underwriter unless
Popular passages
Page 168 - 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 137 - 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 28 - ... (b) 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 329 - ... at least 80 percent of the total combined voting power of all classes of stock entitled to vote, and at least 80 percent of the total number of shares of all other classes of stock (except nonvoting stock which is limited and preferred as to dividends...
Page 112 - ... 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 46 - ... 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 386 - 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 128 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Page 54 - ... in the public interest because furnishing the information can be considered as primarily benefiting the general public.
Page 118 - Personnel may order immediate action to end such conflict or appearance of conflict of interest. Remedial action may include, but is not limited to (1) changes in assigned duties; (2) divestment by the employee or special Government employee of his conflicting interest; (3) disciplinary action; or (4) disqualification for a particular assignment. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive Orders, and regulations.