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 5
... 200.552 NEPA planning . 200.553 Draft , final and supplemental impact statements . 200.554 Public availability of information . Subpart L - Enforcement of Nondiscrimina- tion on the Basis 5 Securities and Exchange Commission Pt . 200.
... 200.552 NEPA planning . 200.553 Draft , final and supplemental impact statements . 200.554 Public availability of information . Subpart L - Enforcement of Nondiscrimina- tion on the Basis 5 Securities and Exchange Commission Pt . 200.
Página 30
... basis of the facts then set forth in the application , it appears that : ( i ) ( A ) The prohibitions of section 9 ( a ) , as applied to the applicant , may be unduly or disproportionately severe , or ( B ) the applicant's conduct has ...
... basis of the facts then set forth in the application , it appears that : ( i ) ( A ) The prohibitions of section 9 ( a ) , as applied to the applicant , may be unduly or disproportionately severe , or ( B ) the applicant's conduct has ...
Página 32
... basis of the facts then set forth in the application , it appears that : ( i ) ( A ) The prohibitions of section 9 ( a ) , as applied to the applicant , may be unduly or disproportionately severe , or ( B ) the applicant's conduct has ...
... basis of the facts then set forth in the application , it appears that : ( i ) ( A ) The prohibitions of section 9 ( a ) , as applied to the applicant , may be unduly or disproportionately severe , or ( B ) the applicant's conduct has ...
Página 46
... basis among the members of the Commission other than the Chairman . ( b ) Exercise of duty officer authority . ( 1 ) The authority delegated by this rule shall be exercised when , in the opinion of the duty officer , action is required ...
... basis among the members of the Commission other than the Chairman . ( b ) Exercise of duty officer authority . ( 1 ) The authority delegated by this rule shall be exercised when , in the opinion of the duty officer , action is required ...
Página 53
... basis , and , in the case of a record or information compiled by a criminal law enforce- ment authority in the course of a criminal investigation , or by an agency conducting a lawful national security intelligence investigation ...
... basis , and , in the case of a record or information compiled by a criminal law enforce- ment authority in the course of a criminal investigation , or by an agency conducting a lawful national security intelligence investigation ...
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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.