The Code of Federal Regulations of the United States of America
U.S. Government Printing Office, 1967 - Administrative law
The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government.
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48 Stat addition affiliates amended amount annual application appropriate assets associate authorized balance sheet basis broker or dealer capital caption certificates chapter charged Column Commission connection contained contract copies cost deemed deposited determination director distribution documents effective employee exchange exemption exhibits expense filed fiscal funds furnished future given hearing held holders holding income indicated Instructions interest investment issued issuer Item loss material matter means ment NOTE notice offering officer options otherwise paragraph party period person position principal prior proceeding profit proposed prospectus purchase pursuant reason received records reference registration statement regulations relating request respect rules Schedule securities Securities Exchange separately shares specified subsidiaries surplus term thereof tion trading transaction trust underwriter United unless voting
Page 114 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Page 115 - ... that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Page 104 - Coercion. A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.
Page 32 - The order shall be issued and served upon the parties as the final order in the proceeding without further procedure: Provided, That, if the terms of the order differ substantially from those proposed in the report of the...
Page 357 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication...
Page 334 - affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified.
Page 12 - ... to the relevant pages of the transcript, and suggesting a corrected finding of fact, conclusion, or order. Within the same period of time, each party shall transmit to the hearing clerk a brief statement in writing...
Page 228 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
Page 228 - control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...