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, 1978 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 76
... [ Caption ] Registrant [ Name ] having satisfied the reparation complaint filed against him on [ Date ] , by - [ Name ] , that complaint is hereby withdrawn . Registrant , by satisfying that complaint neither admits nor denies violating ...
... [ Caption ] Registrant [ Name ] having satisfied the reparation complaint filed against him on [ Date ] , by - [ Name ] , that complaint is hereby withdrawn . Registrant , by satisfying that complaint neither admits nor denies violating ...
Página 79
... [ Caption ] [ Name ] having satisfied the reparation complaint Respondent against him on [ Date ] by [ Name ] , that the complaint is hereby withdrawn . [ Jurat ] or [ Caption ] Respondent Complainant Respondent [ Name ] having satisfied ...
... [ Caption ] [ Name ] having satisfied the reparation complaint Respondent against him on [ Date ] by [ Name ] , that the complaint is hereby withdrawn . [ Jurat ] or [ Caption ] Respondent Complainant Respondent [ Name ] having satisfied ...
Página 127
... caption indicating that it is filed pursuant to this section . The re- porting requirements of this para- graph do not apply to communications incidental to court appearances in liti- gation involving the Commission . As used in this ...
... caption indicating that it is filed pursuant to this section . The re- porting requirements of this para- graph do not apply to communications incidental to court appearances in liti- gation involving the Commission . As used in this ...
Página 222
... caption at the begin- ning of the request , each section of the Act and each rule to which the request relates . If more than one section or rule is involved , a separate copy of the request shall be sub- mitted for each section or rule ...
... caption at the begin- ning of the request , each section of the Act and each rule to which the request relates . If more than one section or rule is involved , a separate copy of the request shall be sub- mitted for each section or rule ...
Página 281
... caption of the order , or ( 2 ) in the case of orders reflecting action taken pur- suant to delegated authority , the date when such action is taken , as reflected in the caption of the order . The order shall be available for ...
... caption of the order , or ( 2 ) in the case of orders reflecting action taken pur- suant to delegated authority , the date when such action is taken , as reflected in the caption of the order . The order shall be available for ...
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Términos y frases comunes
48 Stat Administrative Law Judge affiliates aggregate amended amount application appropriate assets authority balance sheet broker or dealer caption certificate chapter cluding Column Commis Commission's commodity Commodity Exchange Act contract market copies corporation curities deemed Director disclosure dividends documents effective date employee erwise exemption fees filed financial statements funds furnished futures commission merchant included income statement initial decision interest investment adviser issue issuer matter ment mission national securities exchange notice notification offering sheet option otherwise paragraph party percent period person prior proceeding prospectus purchase purposes pursuant to section quired record regis registration statement Regulation relating request respect rities schedule secu Securities Act Securities Exchange Act service of process shares sion specified suant Subpart subpoena subsidiaries term thereof thereto tion trading transactions trust underwriter unless