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" For the purpose of any investigation or any other proceeding under this act, 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,... "
Code of Federal Regulations: Containing a Codification of Documents of ... - Página 357
1985
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The Code of Federal Regulations of the United States of America

1992 - 694 páginas
...13(c), 13(d), 13(f), 14, and 20(a) of the Act (15 USC 79e(b), 79m(c), 79m(d), 79m(f), 79n, 79t(a)). (10) To adjust the filing date of a filing submitted in...contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 209(b) of the Investment Advisers Act...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1987 - 530 páginas
...240.14b-2 (b) and/or (c) of this chapter) pursuant to Rule 14b-2(d) (§ 240.14b-2(d) of this chapter). (g) To designate officers empowered to administer...the Securities Act of 1933 (15 USC 77s(b)), section 2l(b) of the Securities Exchange Act of 1934 (15 USC 78u(b)), section 8(e) of the Securities Act of...
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The Code of Federal Regulations of the United States of America

1988 - 536 páginas
...240.14b-2 (b) and/or (c) of this chapter) pursuant to Rule 14b-2(d) (§240.14b-2(d) of this chapter). (g) To designate officers empowered to administer...the Securities Act of 1933 (15 USC 77s(b)), section 21(b) of the Securities Exchange Act of 1934 (15 USC 78u(b)), section 8(e) of the Securities Act of...
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The Code of Federal Regulations of the United States of America

1980 - 680 páginas
...appear to be current in submitting the information specified in Rule 12g3-2(b) (§240.12g3-2(b)). (e) To designate officers empowered to administer oaths...the Securities Act of 1933 (15 USC 77s(b)), section 21(b) of the Securities Exchange Act of 1934 (15 USC 78u(b)), section 8(e) of the Securities Act of...
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Code of Federal Regulations: Containing a Codification of Documents of ...

2000 - 714 páginas
...from the tender offer provisions of Rule 14e-l of Regulation 14E (§240.14el of this chapter). (b) To designate officers empowered to administer oaths...contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 21(b) of the Securities Exchange Act...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1998 - 784 páginas
...terme and conditions, grant or deny exemp-tions from section ll(dxi) of the Act (15 USC 78k(d)(l)). (b) ted States Office of the Federal Register Investigations instituted by the Commission pursuant to section 2Kb) of the Securities Exchange Act...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1979 - 1804 páginas
...registration are no longer in existence or are not engaged in business as investment advisers. (f) To designate officers empowered to administer oaths...contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 209(b) of the Investment Advisers Act...
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The Code of Federal Regulations of the United States of America

1995 - 764 páginas
...209 of the In§200.30-5 vestment Advisers Act of 1940 (15 USC 80b-9). (4) To terminate the authority to administer oaths and affirmations, subpoena witnesses,...contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 19(b) of the Securities Act of 1933...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1990 - 560 páginas
...section 209 of the Investment Advisers Act of 1940 ( 15 USC 80b-9). (4) To terminate the authority to administer oaths and affirmations, subpoena witnesses,...contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 19(b) of the Securities Act of 1933...
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The Code of Federal Regulations of the United States of America

1977 - 958 páginas
...registration are no longer in existence or are not engaged in business as investment advisers. (f ) To designate officers empowered to administer oaths...correspondence, memoranda, contracts, agreements, -12 167 or other records in the course of Investigations instituted by the Commission pursuant to section...
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