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. |
Dentro del libro
Resultados 1-5 de 100
Página 5
... otherwise noted . SOURCE : 41 FR 3194 , Jan. 21 , 1976 , unless otherwise noted . DEFINITIONS § 1.1 Words in singular and plural form . Words used in the singular form in the rules and regulations in this Part shall be deemed to import ...
... otherwise noted . SOURCE : 41 FR 3194 , Jan. 21 , 1976 , unless otherwise noted . DEFINITIONS § 1.1 Words in singular and plural form . Words used in the singular form in the rules and regulations in this Part shall be deemed to import ...
Página 26
... otherwise approved by the Commis- sion for good cause shown , the record required by this paragraph ( e ) of this section shall be maintained in format and coding structure approved by the Commission ( i ) in hard copy or on microfilm ...
... otherwise approved by the Commis- sion for good cause shown , the record required by this paragraph ( e ) of this section shall be maintained in format and coding structure approved by the Commission ( i ) in hard copy or on microfilm ...
Página 52
... otherwise , any or all of the fol- lowing : ( 1 ) An outline of its case or defense ; ( 2 ) The legal theories upon which it will rely ; ( 3 ) The identity of the witness who will testify on its behalf ; ( 4 ) Copies of or a list of ...
... otherwise , any or all of the fol- lowing : ( 1 ) An outline of its case or defense ; ( 2 ) The legal theories upon which it will rely ; ( 3 ) The identity of the witness who will testify on its behalf ; ( 4 ) Copies of or a list of ...
Página 59
... otherwise determined by the Adminis- trative Law Judge : ( 1 ) Initial submission . Proposed findings , conclusions and an initial brief shall be served and filed by the Division of Enforcement and interven- ors on the side of the ...
... otherwise determined by the Adminis- trative Law Judge : ( 1 ) Initial submission . Proposed findings , conclusions and an initial brief shall be served and filed by the Division of Enforcement and interven- ors on the side of the ...
Página 64
... otherwise inadequate may on that basis file a motion with the Commis- sion to amend or supplement the ap- pendix within 30 days of the date of the mailing of the appendix . The Commission has determined that once an appeal goes to the ...
... otherwise inadequate may on that basis file a motion with the Commis- sion to amend or supplement the ap- pendix within 30 days of the date of the mailing of the appendix . The Commission has determined that once an appeal goes to the ...
Otras ediciones - Ver todas
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