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, 1997 - 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 11
... Director . ( a ) The Executive Director is respon- sible for developing and executing the overall management policies of the Commission for all its operating divi- sions and staff offices . The Executive Director also provides executive ...
... Director . ( a ) The Executive Director is respon- sible for developing and executing the overall management policies of the Commission for all its operating divi- sions and staff offices . The Executive Director also provides executive ...
Page 12
... Director appoints personnel , reviews and approves poli- cies and procedures , and assures appro- priate resources to implement the pro- grams set forth in paragraph ( a ) of this section , and authorizes and transmits reports required ...
... Director appoints personnel , reviews and approves poli- cies and procedures , and assures appro- priate resources to implement the pro- grams set forth in paragraph ( a ) of this section , and authorizes and transmits reports required ...
Page 14
... Director of Division of Cor- poration Finance . The Director of the Division of Cor- poration Finance is responsible to the Commission for the administration of all matters ( except those pertaining to investment companies registered ...
... Director of Division of Cor- poration Finance . The Director of the Division of Cor- poration Finance is responsible to the Commission for the administration of all matters ( except those pertaining to investment companies registered ...
Page 15
... Director of the Division of Market Regulation . The Director of the Division of Mar- ket Regulation is responsible to the Commission for the administration and execution of the Commission's pro- grams under the Securities Exchange Act ...
... Director of the Division of Market Regulation . The Director of the Division of Mar- ket Regulation is responsible to the Commission for the administration and execution of the Commission's pro- grams under the Securities Exchange Act ...
Page 16
... Director of the Division of Enforcement . The Director of the Division of En- forcement is responsible to the Com- mission for supervising and conducting all enforcement activities under the acts administered by the Commission . The ...
... Director of the Division of Enforcement . The Director of the Division of En- forcement is responsible to the Com- mission for supervising and conducting all enforcement activities under the acts administered by the Commission . The ...
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Common terms and phrases
48 Stat affiliates agency amount applicable assets balance sheet broker cash chapter cial cluded column Commis Commission Commission's copy Counsel curities dealer debt deemed Director disclosed disclosure dividends document effective date electronic filing employee equity erwise exemption Federal fees filer Financial Data Schedule financial statements Form format hearing officer Holding Company income income statement interest Investment Company Act investors issued istered istrant istration statement Item market risk material ment paragraph party period person post-effective amendment preferred stock prior pro forma proceeding prospectus pursuant to Rule pursuant to section quired record registrant's registration statement Regulation S-T relating repurchase agreements request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof underwriter unit investment trust
Popular passages
Page 161 - 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 214 - ... 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 550 - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.
Page 482 - 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 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 31 - 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 64 - ... 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 619 - If data are stored in a computer or similar device, any printout or other output readable by sight, shown to reflect the data accurately, is an "original.
Page 53 - ... 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 55 - ... (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...