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, 1987 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página vi
... Regis- ter . A List of CFR Sections Affected ( LSA ) is published monthly , keyed to the revision dates of the 50 CFR titles . REPUBLICATION OF MATERIAL There are no restrictions on the republication of material appearing in the Code of ...
... Regis- ter . A List of CFR Sections Affected ( LSA ) is published monthly , keyed to the revision dates of the 50 CFR titles . REPUBLICATION OF MATERIAL There are no restrictions on the republication of material appearing in the Code of ...
Página 7
... regis- tered pursuant to section 12 of the Se- curities Exchange Act of 1934 , public utility holding companies , and their subsidiaries and investment compa- nies . ( c ) Regulation of the trading in secu- rities on national securities ...
... regis- tered pursuant to section 12 of the Se- curities Exchange Act of 1934 , public utility holding companies , and their subsidiaries and investment compa- nies . ( c ) Regulation of the trading in secu- rities on national securities ...
Página 13
... regis- tered under the Investment Company Act of 1940 , arising under the Securi- ties Exchange Act of 1934 ( 15 U.S.C. 78a , et seq . ) in connection with : ( 1 ) The registration of securities pursuant to section 12 of the Act ( 15 ...
... regis- tered under the Investment Company Act of 1940 , arising under the Securi- ties Exchange Act of 1934 ( 15 U.S.C. 78a , et seq . ) in connection with : ( 1 ) The registration of securities pursuant to section 12 of the Act ( 15 ...
Página 22
... regis- tration statements filed pursuant to section 12 ( g ) of the Act ( 15 U.S.C. 781 ( g ) ) . ( 7 ) To issue notices of applications for exemptions and to grant exemp- tions under section 12 ( h ) of the Act ( 15 U.S.C. 787 ( h ) ...
... regis- tration statements filed pursuant to section 12 ( g ) of the Act ( 15 U.S.C. 781 ( g ) ) . ( 7 ) To issue notices of applications for exemptions and to grant exemp- tions under section 12 ( h ) of the Act ( 15 U.S.C. 787 ( h ) ...
Página 23
... REGIS- TER citations affecting § 200.30-1 see the List of CFR Sections Affected in the Finding Aids section of this volume . § 200.30-3 Delegation of authority to Di- rector of Division of Market Regula- tion . Pursuant to the ...
... REGIS- TER citations affecting § 200.30-1 see the List of CFR Sections Affected in the Finding Aids section of this volume . § 200.30-3 Delegation of authority to Di- rector of Division of Market Regula- tion . Pursuant to the ...
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Términos y frases comunes
48 Stat 54 Stat 76 Stat 90 Stat accounting affiliates amended amount applicable appropriate assets balance sheet broker broker-dealer caption chapter cial clude Column Commis Commission's confidential treatment copies costs Counsel curities dealer deemed determination Director disclosed disclosure document effective date employee equity erwise exemption Federal fees filed pursuant financial statements fiscal Form hearing officer income statement initial decision interest Investment Advisers Investment Company Act issue issuer Item July 15 material mation matter ment mission offering sheet paragraph party period person preferred stock prior proceeding proposed prospectus Public Utility Holding pursuant to Rule pursuant to section quired record regis registrant's registration statement Regulation request respect rities schedule secu Securities Act Securities Exchange Act security holders Sept sion specified suant subpart subsidiaries thereof thereto tion transactions underwriter unless Utility Holding Company
Pasajes populares
Página 165 - 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 135 - ... 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 22 - For the purpose of any investigation or any other proceeding under this act, 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, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 109 - ... 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 339 - Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory, where the issuer of such security is a person resident and doing business within, or, if a corporation, incorporated by and doing business within, such State or Territory.
Página 135 - Objections to the competency of a witness or to the competency, relevancy, or materiality of testimony are not waived by failure to make them before or during the taking of the deposition, unless the ground of the objection is one which might have been obviated or removed if presented at that time.
Página 165 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
Página 49 - ... (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...
Página 135 - ... evidence. Failure to object to questions or evidence before the officer shall not be deemed a waiver unless the ground of the objection is one which might have been obviated or removed if presented at that time. (d) Filing of depositions. The testimony shall be reduced to writing by the officer, or under his direction, after which the deposition shall be subscribed by the witness and certified in usual form by the officer. The original deposition and exhibits shall be forwarded under seal to...
Página 127 - The signature of an attorney constitutes a certificate by him that he has read the pleading; that to the best of his knowledge, information, and belief there is good ground to support it; and that it is not interposed for delay.