SEC Authorization Request and Related Issues: Hearing Before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, First Session, on H.R. 1416 ... H.R. 560 ... H.R. 561 ... H.R. 562 ... H.R. 563 ... February 15, 1983

U.S. Government Printing Office, 1983 - 361 páginas
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Página 231 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Página 228 - ... with intent to influence him to commit or aid in committing, or to collude in, or allow, any fraud, or make opportunity for the commission of any fraud, on the United States, or to induce him to do or omit to do any act in violation of his lawful duty...
Página 297 - Put another way, there must be a substantial likelihood that the disclosure of the omitted fact would have been viewed by the reasonable investor as having significantly altered the "total mix" of information made available.* Id., 426 US at 449, 96 S.Ct.
Página 231 - foreign official" means any officer or employee of a foreign government or any department, agency, or instrumentality thereof, or any person acting in an official capacity for or on behalf of any such government or department, agency, or instrumentality. Such term does not include any employee of a foreign government or any department, agency, or instrumentality thereof whose duties are essentially ministerial or clerical.
Página 17 - ... the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Comptroller of the Currency, the Federal Home Loan Bank Board, the Federal Savings and Loan Insurance Corporation, or the National Credit Union Administration. (8) The term "National Institute of Building Sciences" means the institute established by section 809 of the Housing and Community Development Act of 1974.
Página 36 - Commission that any person has violated any provision of this title or the rules or regulations thereunder by purchasing or selling a security while in possession of material nonpublic information...
Página 228 - ... (B) inducing such foreign official to use his influence with a foreign government or instrumentality thereof to affect or influence any act or decision of such government or instrumentality, in order to assist such issuer...
Página 29 - Chairman of the Federal Deposit Insurance Corporation, the Comptroller of the Currency and the Administrator of the National Credit Union Administration participated under an informal memorandum of agreement.
Página 246 - I can be of any further assistance to you in this matter, please do not hesitate to call upon me.
Página 46 - Any material which is received by the Commission in any investigation, a purpose of which is to determine whether any person may have violated any provision of the laws administered by the Commission, and which is provided pursuant to any compulsory process under this Act or which is provided voluntarily in place of such compulsory process shall be exempt from disclosure under section 552 of title 5, United States Code. (15 USC 57b-2) SEC. 22. (a) For purposes of this section: (1) The term "rule...

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