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 9
... filed on Form 7 - R in accordance with the instructions contained therein . The initial application for registration shall be accompanied by a Form 8 - R executed and filed by each sole propri- etor and by each natural person who is a ...
... filed on Form 7 - R in accordance with the instructions contained therein . The initial application for registration shall be accompanied by a Form 8 - R executed and filed by each sole propri- etor and by each natural person who is a ...
Página 47
... filed in a proceeding by or on behalf of any party or participant ( including the complaint and notice of hearing , the answer , and an application for inter- vention ) shall state on the first page thereof the name and post office ad ...
... filed in a proceeding by or on behalf of any party or participant ( including the complaint and notice of hearing , the answer , and an application for inter- vention ) shall state on the first page thereof the name and post office ad ...
Página 82
... filed in a pro- ceeding by or on behalf of any party subsequent to formal service of the complaint shall state on the first page thereof the name and post office ad- dress of the person who is authorized to receive service for him of ...
... filed in a pro- ceeding by or on behalf of any party subsequent to formal service of the complaint shall state on the first page thereof the name and post office ad- dress of the person who is authorized to receive service for him of ...
Página 94
... filed within thirty ( 30 ) days after service upon the parties of the Commission's order granting review of the initial decision . ( e ) Oral argument . Any party may request , in writing and within the time provided for filing the ...
... filed within thirty ( 30 ) days after service upon the parties of the Commission's order granting review of the initial decision . ( e ) Oral argument . Any party may request , in writing and within the time provided for filing the ...
Página 134
... filed with the Commission where the Commission has undertaken for- mally or informally to receive such submission or filing for its use or the use of specified persons only , and the information is of a kind not normally disclosed by ...
... filed with the Commission where the Commission has undertaken for- mally or informally to receive such submission or filing for its use or the use of specified persons only , and the information is of a kind not normally disclosed by ...
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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