Rules of Practice and Rules Relating to Investigations and Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees: As in Effect January 16, 1967U.S. Government Printing Office, 1967 - 29 páginas The Macquarie Encyclopedia of Australian Events can be used in three ways _ as a source for specific reference, to gain an overview of a subject,or for a fascinating browse through events in many areas of Australia's history. |
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Página vi
... petition for review of initial decision_ .. 17 ( e ) . 12 Briefs on motions__ . 12 ( c ) - 8 Briefs , time for filing ... 16 ( e ) . 11 Broker - dealer proceedings - parties ___ 9 ( b ) 4 Broker - dealer suspension proceedings , special ...
... petition for review of initial decision_ .. 17 ( e ) . 12 Briefs on motions__ . 12 ( c ) - 8 Briefs , time for filing ... 16 ( e ) . 11 Broker - dealer proceedings - parties ___ 9 ( b ) 4 Broker - dealer suspension proceedings , special ...
Página ix
... petition for ... . Repeal of rules . Reply briefs .. Requirements of answer ... Review of determinations at a delegated level ... Review of hearing officer's rules . Review of initial decisions___ Rules ; issuance , amendment and repeal ...
... petition for ... . Repeal of rules . Reply briefs .. Requirements of answer ... Review of determinations at a delegated level ... Review of hearing officer's rules . Review of initial decisions___ Rules ; issuance , amendment and repeal ...
Página 7
... petition for Commis- sion review of an initial decision in accordance with Rule 17 . ( f ) Transcript of hearings . Hearings for the purpose of taking evidence shall be stenographi- cally reported , and a transcript thereof shall be ...
... petition for Commis- sion review of an initial decision in accordance with Rule 17 . ( f ) Transcript of hearings . Hearings for the purpose of taking evidence shall be stenographi- cally reported , and a transcript thereof shall be ...
Página 8
... petition to review or , in connection with a petition pursuant to Section 15A ( b ) ( 4 ) of the Securities Exchange Act of 1934 , at any time when a peti- tion for review of the disqualifying order of the Commission is not pending ...
... petition to review or , in connection with a petition pursuant to Section 15A ( b ) ( 4 ) of the Securities Exchange Act of 1934 , at any time when a peti- tion for review of the disqualifying order of the Commission is not pending ...
Página 11
... petition for review of the initial decision may be filed ; a statement that pursuant to Rule 17 ( f ) of these rules the initial decision shall become the final decision of the Com- mission as to each party unless he files a petition ...
... petition for review of the initial decision may be filed ; a statement that pursuant to Rule 17 ( f ) of these rules the initial decision shall become the final decision of the Com- mission as to each party unless he files a petition ...
Términos y frases comunes
30 days Administrative Procedure Act Amended appear attorney August 20 briefs in support ceeding certified Commis Commission review Commission's Company Act confidential treatment days after service deemed delegated level deny deposition determination discretion docu duly designated officer EX PARTE COMMUNICATIONS file a petition file an answer findings and conclusions formal investigative proceeding Former Rules heard pursuant initial decision interested division interrogatories issuance matter ments mission motion or application Motions and Applications objection offer of settlement oral argument order for proceeding order review participants party may file person entitled petition for review prescribed prior procedure proposed findings pursuant to Rule reasons record reply briefs request Rule 17 Rules of Practice Secretary Securities Exchange Act serve and file sion specified statement suance suant subpoena duces tecum subpoenas ad testificandum testimony therein thereof thereto tion transcript Unless otherwise ordered unless the Commission waived witness written communication
Pasajes populares
Página 9 - 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 10 - The testimony of the witness shall be reduced to writing by the officer before whom the deposition is taken, or under his direction, after which the deposition shall be subscribed by the witness and certified in usual form by the officer. After the deposition has been so certified it shall, together with a copy thereof made by such officer or under his direction, be forwarded by...
Página 10 - ... has been unable to procure the attendance of the witness by subpoena; or (E) upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Página 16 - In computing any period of time prescribed or allowed by these rules, by order of court, or by any applicable statute, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Sunday or a legal holiday, in which event the period runs until the end of the next day which is neither a Sunday nor a holiday.
Página 10 - ... unless it appears that the absence of the witness was procured by the party offering the deposition; or...
Página 15 - If any party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence in the...
Página 9 - ... clerk or other person in charge thereof; or, if there is no one in charge, leaving it in a conspicuous place therein; or, if the office is closed or the person to be served has no office, leaving it at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Página 8 - Limitations on postponements and adjournments. A hearing before a hearing officer shall begin at the time and place ordered by the Commission, provided that, within the limits provided by statute, the hearing officer may for good cause postpone the commencement of the hearing for not more than 30 days or change the place of hearing.
Página 10 - In writing setting forth the reasons why such depositions should be taken, the name and post office address of the witness, the matters concerning which It Is expected the witness will testify, and the time and place proposed for the taking of the deposition...
Página 16 - Montana, Nebraska, Nevada, New Mexico, North Dakota, Oregon, South Dakota, Utah, Washington, and Wyoming.