 | Administrative law - 1978 - 1252 pages
...registration are no longer in existence or are not engaged in business as investment advisers. (f) To designate officers empowered to administer oaths...investigations instituted by the Commission pursuant to section 209(b) of the Investment Advisers Act of 1940 (15 USC 80b-9(b)), section 42(b) of the Investment Company... | |
 | Administrative law - 1998 - 784 pages
...terme and conditions, grant or deny exemp-tions from section ll(dxi) of the Act (15 USC 78k(d)(l)). (b) ted States Office of the Federal Register 2Kb) of the Securities Exchange Act of 1934 (15 USC 78u(b)). (c) In nonpublic investigatory pro-ceedings... | |
 | Administrative law - 1986 - 1004 pages
...and section 209 of the Investment Advisers Act of 1940 (15 USC 80b-9). (4) To terminate the authority to administer oaths and affirmations, subpoena witnesses,...investigations instituted by the Commission pursuant to section 19(b) of the Securities Act of 1933 (15 USC 77s(b», section 2Kb) of the Securities Exchange Act of... | |
 | Administrative law - 2001 - 742 pages
...and section 209 of the Investment Advisers Act of 1940 (15 USC 80b-9). (4) To terminate the authority to administer oaths and affirmations, subpoena witnesses,...investigations instituted by the Commission pursuant to section 19(b) of the Securities Act of 1933 (15 USC 77s(b)), section 21(b) of the Securities Exchange Act of... | |
 | Administrative law - 1987 - 530 pages
...240.14b-2 (b) and/or (c) of this chapter) pursuant to Rule 14b-2(d) (§ 240.14b-2(d) of this chapter). (g) To designate officers empowered to administer oaths...contracts, agreements, or other records in the course of any examination or investigation instituted by the Commission pursuant to section 16(b) of the Securities... | |
 | Administrative law - 1985 - 1240 pages
...the acceptance of the filing is delayed because of equipment malfunction or technical problem. (g) To designate officers empowered to administer oaths...contracts, agreements, or other records in the course of any examination or investigation instituted by the Commission pursuant to section 16(b) of the Securities... | |
 | Administrative law - 1997 - 714 pages
...the Commission. (a)(l) To designate officers empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence,...investigations instituted by the Commission pursuant to section 19(b) of the Securities Act of 1933 (15 USC 77s(b)), section 21(b) of the Securities Exchange Act of... | |
 | Administrative law - 1989 - 556 pages
...the Investigating Officer, in connection with any formal investigation ordered by the Commission, may administer oaths and affirmations, subpoena witnesses,...memoranda, contracts, agreements or other records relevant or material to the investigation. § Ih.l 4 Subpoenas. (a) Service of a subpoena upon a person... | |
 | Administrative law - 1997 - 1068 pages
...the Investigating Officer, in connection with any formal investigation ordered by the Commission, may 8BC 31 / U (a) Service of a subpoena upon a person named therein shall be made be the investigating officer (1)... | |
 | Administrative law - 1979 - 1228 pages
...affirmations, subpena witnesses, compel their attendance, take evidence, and require the productin of any books, papers, correspondence, memoranda, contracts,...investigations instituted by the Commission pursuant to section 19(b) of the Securities Act of 1933 (15 USC 77s(b)), section 2Kb) of the Securities Exchange Act of... | |
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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,... 
