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 12
... proceedings under the Commis- sion's statutes , and other responsibil- ities . ( c ) In addition , he or she ... proceedings instituted by the Commission . The Administrative Law Judges are responsible for the fair and orderly conduct of ...
... proceedings under the Commis- sion's statutes , and other responsibil- ities . ( c ) In addition , he or she ... proceedings instituted by the Commission . The Administrative Law Judges are responsible for the fair and orderly conduct of ...
Page 39
... proceedings con- ducted pursuant to the Securities Act of 1933 , 15 U.S.C. 77a et seq . , the Securi- ties Exchange Act of 1934 , 15 U.S.C. 78a et seq . , the Public Utility Holding Com- pany Act of 1935 , 15 U.S.C. 79a et seq . , the ...
... proceedings con- ducted pursuant to the Securities Act of 1933 , 15 U.S.C. 77a et seq . , the Securi- ties Exchange Act of 1934 , 15 U.S.C. 78a et seq . , the Public Utility Holding Com- pany Act of 1935 , 15 U.S.C. 79a et seq . , the ...
Page 40
... proceeding at which the Judge presides in which a hearing is required to be conducted in conformity with the Ad- ministrative Procedure Act ( 5 U.S.C. 557 ) unless such initial decision is waived by all parties who appear at the hearing ...
... proceeding at which the Judge presides in which a hearing is required to be conducted in conformity with the Ad- ministrative Procedure Act ( 5 U.S.C. 557 ) unless such initial decision is waived by all parties who appear at the hearing ...
Page 44
... proceedings pending before the Commission . ( xi ) To determine whether to permit or require that a record of proceedings be supplemented with additional evi- dence . ( xii ) To determine requests for leave to file an opposition to a ...
... proceedings pending before the Commission . ( xi ) To determine whether to permit or require that a record of proceedings be supplemented with additional evi- dence . ( xii ) To determine requests for leave to file an opposition to a ...
Page 45
... proceedings under Sections 19 ( d ) , ( e ) and ( f ) of the Securi- ties Exchange Act of 1934 ( 15 U.S.C. 78s ( d ) , ( e ) and ( f ) ) , to determine that an application for review under those sec- tions has been abandoned , under the ...
... proceedings under Sections 19 ( d ) , ( e ) and ( f ) of the Securi- ties Exchange Act of 1934 ( 15 U.S.C. 78s ( d ) , ( e ) and ( f ) ) , to determine that an application for review under those sec- tions has been abandoned , under the ...
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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.