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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... Region 6. Wyoming , Colorado , New Mexico , Nebraska , North Dakota , South Dakota , Utah - Regional Administrator , Suite 700 , 410 Seventeenth Street , Denver , Colorado 80202 . Federal Region 7. California , Nevada , Arizona , Hawaii ...
... Region 6. Wyoming , Colorado , New Mexico , Nebraska , North Dakota , South Dakota , Utah - Regional Administrator , Suite 700 , 410 Seventeenth Street , Denver , Colorado 80202 . Federal Region 7. California , Nevada , Arizona , Hawaii ...
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Términos y frases comunes
48 Stat accounting action addition administrative adviser amended amount appear applicable appropriate assets authority balance sheet basis chapter Column Commis Commission Commission's Company Act contained copies costs Counsel dealer decision deemed described determination Director disclosure Division document effective employee Exchange Act Executive exemption Federal fees filed fiscal Form Government grant hearing holding income individual initial interest Investment Company involved issue issuer Item material matter means meeting ment mission notice offering Office operations otherwise paragraph party period person practice presented prior proceeding proposed prospectus purchase pursuant reasonable received record reference regis registration statement Regulation request respect Rule schedule securities Securities Act Securities Exchange separately Sept shares sion specified subsidiaries term thereof tion transactions United unless written
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.
Información bibliográfica
| Título | Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and Index |
| Colaborador | United States. Office of the Federal Register |
| Editor | Division of the Federal Register, the National Archives, 1987 |
| Procedencia del original | Universidad de Michigan |
| Digitalizado | 18 Mayo 2005 |
| Exportar cita | BiBTeX EndNote RefMan |