The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1995 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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Página vi
... applicable recordkeeping or reporting requirements . OBSOLETE PROVISIONS Provisions that become obsolete before the revision date stated on the cover of each volume are not carried . Code users may find the text of provisions in effect ...
... applicable recordkeeping or reporting requirements . OBSOLETE PROVISIONS Provisions that become obsolete before the revision date stated on the cover of each volume are not carried . Code users may find the text of provisions in effect ...
Página 37
... applicable provisions of the Act and rules thereunder , other than financial responsibility rules . ( 2 ) Pursuant to Rule 04 ( §240.04 of this chapter ) , to disclose to the Comp- troller of the Currency , the Board of Governors of the ...
... applicable provisions of the Act and rules thereunder , other than financial responsibility rules . ( 2 ) Pursuant to Rule 04 ( §240.04 of this chapter ) , to disclose to the Comp- troller of the Currency , the Board of Governors of the ...
Página 48
... applicable to its execu- tive , legislative and judicial respon- sibilities . [ 25 FR 6725 , July 15 , 1960 , as amended at 31 FR 13533 , Oct. 20 , 1966 ] §200.54 Constitutional obligations . The members of this Commission have ...
... applicable to its execu- tive , legislative and judicial respon- sibilities . [ 25 FR 6725 , July 15 , 1960 , as amended at 31 FR 13533 , Oct. 20 , 1966 ] §200.54 Constitutional obligations . The members of this Commission have ...
Página 57
... applicable time limits contained in this paragraph ( d ) of this section in responding to a re- quest for records , it shall send written notice of the reason for delay to the person who made the request and shall be prepared to ...
... applicable time limits contained in this paragraph ( d ) of this section in responding to a re- quest for records , it shall send written notice of the reason for delay to the person who made the request and shall be prepared to ...
Página 57
... applicable time limits contained in this paragraph ( d ) of this section in responding to a re- quest for records , it shall send written notice of the reason for delay to the person who made the request and shall be prepared to ...
... applicable time limits contained in this paragraph ( d ) of this section in responding to a re- quest for records , it shall send written notice of the reason for delay to the person who made the request and shall be prepared to ...
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Términos y frases comunes
48 Stat 54 Stat 90 Stat affiliates agency amount applicable assets balance sheet broker cash chapter cial cluded column Commis Commission Commission's copies costs Counsel curities dealer debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees Financial Data Schedule financial statements fiscal Form Holding Company income income statement information speci interest Investment Company Act investors issue istered istrant istration statement Item material mation ment offering sheet operations otherwise paragraph participation payment period person preferred stock prior proceeding prospectus purchase pursuant to Rule pursuant to section quired records registrant's registration statement Regulation request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof tion underwriter unit investment trust
Pasajes populares
Página 156 - 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...
Página 121 - 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.
Página 29 - ... (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.
Página 372 - ... 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...
Página 451 - ... 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.
Página 111 - ... 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.
Página 121 - 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.
Página 87 - ... (7) Investigatory records compiled for law enforcement purposes but only to the extent that the production of such records would (A) interfere with enforcement proceedings, (B) deprive a person of a right to a fair trial or an impartial adjudication, (C) constitute an unwarranted invasion of personal privacy, (D) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency...
Página 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.
Página 56 - ... in the public interest because furnishing the information can be considered as primarily benefiting the general public.