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, 1998 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 9
... specified terms and condi- tions . The Act also regulates advisory fees , sales and repurchases of securi- ties , exchange offers , and other activi- ties of investment companies . The Act authorizes the Commission to exempt any person ...
... specified terms and condi- tions . The Act also regulates advisory fees , sales and repurchases of securi- ties , exchange offers , and other activi- ties of investment companies . The Act authorizes the Commission to exempt any person ...
Página 35
... specified in paragraphs ( a ) , ( b ) and ( c ) of Rule 607 ( § 230.607 of this chapter ) , less than five days subse- quent to the filing thereof . ( 4 ) To permit the withdrawal of any notification , or any exhibit or other documents ...
... specified in paragraphs ( a ) , ( b ) and ( c ) of Rule 607 ( § 230.607 of this chapter ) , less than five days subse- quent to the filing thereof . ( 4 ) To permit the withdrawal of any notification , or any exhibit or other documents ...
Página 50
... specified in the Canons . §200.52 Copies of the Canons . The Canons have been distributed to employees of the Commission . In addi- tion , executive and professional em- ployees are issued copies of the Canons upon entrance on duty ...
... specified in the Canons . §200.52 Copies of the Canons . The Canons have been distributed to employees of the Commission . In addi- tion , executive and professional em- ployees are issued copies of the Canons upon entrance on duty ...
Página 73
... specified period of time , not exceed- ing 120 days from the date the re- sponse , together with a statement set- ting forth the considerations upon which the request for such treatment is based . If the staff determines that the ...
... specified period of time , not exceed- ing 120 days from the date the re- sponse , together with a statement set- ting forth the considerations upon which the request for such treatment is based . If the staff determines that the ...
Página 78
... specified in this para- graph ( c ) or shall continue until a date subsequent to the time specified here- in . ( d ) Definitions . As used in this sub- part : ( 1 ) Ex parte communication means an oral or written communication not on ...
... specified in this para- graph ( c ) or shall continue until a date subsequent to the time specified here- in . ( d ) Definitions . As used in this sub- part : ( 1 ) Ex parte communication means an oral or written communication not on ...
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Términos y frases comunes
48 Stat 54 Stat 90 Stat accounting administrative affiliates agency amended amount applicable appropriate assets balance sheet broker caption cash chapter cial clude column Commis Commission Commission's copy Counsel curities dealers debt deemed determination Director disclosed disclosure dividends document effective date employee equity erwise exemption Federal fees filed pursuant financial statements Form hearing officer Holding Company income income statement interest investors issuance issued istered istrant Item market risk material ment mission nancial paragraph party payment period person preferred stock prior pro forma proceeding prospectus pursuant to Rule pursuant to section quired recent fiscal record registrant's registration statement Regulation repurchase agreements request respect rities roll-up transaction secu Securities Act Securities Exchange Act security holders sion small business issuer specified suant subpart subsidiaries term thereof underwriter
Pasajes populares
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.