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, 1998 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Page 9
... Commis- sion ; and prohibits investment compa- nies from issuing senior securities ex- cept under specified terms and condi- tions . The Act also regulates advisory fees , sales and repurchases of securi- ties , exchange offers , and ...
... Commis- sion ; and prohibits investment compa- nies from issuing senior securities ex- cept under specified terms and condi- tions . The Act also regulates advisory fees , sales and repurchases of securi- ties , exchange offers , and ...
Page 10
... Commis- sion rule - making power with respect to fraudulent and other activities of in- vestment advisers . ( g ) Chapter 11 of the Bankruptcy Code . Chapter 11 of the Bankruptcy Code ( 11 U.S.C. 1101 et seq . ) provides for Commis ...
... Commis- sion rule - making power with respect to fraudulent and other activities of in- vestment advisers . ( g ) Chapter 11 of the Bankruptcy Code . Chapter 11 of the Bankruptcy Code ( 11 U.S.C. 1101 et seq . ) provides for Commis ...
Page 12
... Commis- sion . ( a ) The Secretary of the Commission is responsible for the preparation of the daily and weekly agendas of Commis- sion business ; the orderly and expedi- tious flow of business at formal Com- mission meetings ; the ...
... Commis- sion . ( a ) The Secretary of the Commission is responsible for the preparation of the daily and weekly agendas of Commis- sion business ; the orderly and expedi- tious flow of business at formal Com- mission meetings ; the ...
Page 13
... Commis- sion's international cooperation pro- grams and develops initiatives to en- hance the Commission's ability to en- force the federal securities laws in matters with international elements . ( b ) OIA assists in and facilitates ...
... Commis- sion's international cooperation pro- grams and develops initiatives to en- hance the Commission's ability to en- force the federal securities laws in matters with international elements . ( b ) OIA assists in and facilitates ...
Page 18
... Commis- sion ; for the preparation of the Com- mission comments to the Congress on pending legislation ; and for the draft- ing , in conjunction with appropriate di- visions and offices , of legislative pro- posals to be sponsored by ...
... Commis- sion ; for the preparation of the Com- mission comments to the Congress on pending legislation ; and for the draft- ing , in conjunction with appropriate di- visions and offices , of legislative pro- posals to be sponsored by ...
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Common terms and phrases
48 Stat 54 Stat 90 Stat accounting administrative affiliates agency amended amount applicable appropriate assets balance sheet broker caption cash chapter cial clude column Commis Commission Commission's copy Counsel curities dealers debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees filed pursuant financial statements Form hearing officer Holding Company income income statement interest investors issuance issued istered istrant Item market risk material ment mission nancial paragraph party payment period person preferred stock prior pro forma proceeding prospectus pursuant to Rule pursuant to section quired recent fiscal record 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 suant subpart subsidiaries term thereof underwriter
Popular passages
Page 27 - ... (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 160 - 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 512 - ... 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 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 151 - Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law.
Page 50 - Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.
Page 145 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Page 54 - ... (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 54 - ... 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 459 - Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter.