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action additional administrative agency amended amount applicable appropriate assets authority basis chapter column Commis Commission contained copy cost cover dealer debt decision deemed described determination Director disclosed disclosure document effective employee equity Exchange Act executive Federal filed financial statements fiscal foreign Form funds Government grant hearing holders income Instructions interest investment Investment Company issued issuer Item limited material matter means meeting ment notice offering officer operations otherwise paragraph party period person presented prior proceeding prospectus purchase pursuant reasonable received recent record reference registration statement Regulation request respect Rule Schedule securities Securities Act separately shares sion small business specified Stat subsidiaries term tion transaction underwriter United unless written
Página 27 - ... (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 160 - 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 512 - ... 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 120 - ... 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 151 - Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law.
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 145 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Página 54 - ... (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 54 - ... for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days. As used in this subparagraph, unusual circumstances...
Página 459 - Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter.