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 5
... deemed to import the plural , and vice versa , as the case may re- quire . § 1.2 Liability of principal for act of agent . The act , omission , or failure of any official , agent , or other person acting for any individual , association ...
... deemed to import the plural , and vice versa , as the case may re- quire . § 1.2 Liability of principal for act of agent . The act , omission , or failure of any official , agent , or other person acting for any individual , association ...
Página 46
... deemed to have engaged in unprofessional conduct of the type proscribed by 17 CFR 14.8 ( c ) . ( 3 ) Any Commissioner , Administra- tive Law Judge or Commission deci- sional employee who knowingly makes or knowingly cause to be made ...
... deemed to have engaged in unprofessional conduct of the type proscribed by 17 CFR 14.8 ( c ) . ( 3 ) Any Commissioner , Administra- tive Law Judge or Commission deci- sional employee who knowingly makes or knowingly cause to be made ...
Página 74
... deemed to have engaged in unprofessional conduct of the type proscribed by 17 CFR 14.8 ( c ) . ( 3 ) Any Commissioner , Administra- tive Law Judge or Commission deci- sional employee who knowingly makes or knowingly causes to be made ...
... deemed to have engaged in unprofessional conduct of the type proscribed by 17 CFR 14.8 ( c ) . ( 3 ) Any Commissioner , Administra- tive Law Judge or Commission deci- sional employee who knowingly makes or knowingly causes to be made ...
Página 97
... deemed to have occurred when the convicting court enters its judgment or order , regardless of whether an appeal is pending or could be taken , and includes a judgment on a plea of nolo contendere . § 14.6 Disbarment or suspension by ...
... deemed to have occurred when the convicting court enters its judgment or order , regardless of whether an appeal is pending or could be taken , and includes a judgment on a plea of nolo contendere . § 14.6 Disbarment or suspension by ...
Página 125
... deemed " business enterprises ” and are required to be included in an employ- ee's statement of employment and fi- nancial interests . ( g ) Confidentiality . Statements of employment and financial interests shall be sent to the ...
... deemed " business enterprises ” and are required to be included in an employ- ee's statement of employment and fi- nancial interests . ( g ) Confidentiality . Statements of employment and financial interests shall be sent to the ...
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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