| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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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