Sample records for security general rules

  1. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected Health Information § 164.306 Security standards: General rules. (a) General requirements. Covered... covered entity to reasonably and appropriately implement the standards and implementation specifications...

  2. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected Health Information § 164.306 Security standards: General rules. (a) General requirements. Covered... and appropriately implement the standards and implementation specifications as specified in this...

  3. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  4. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  5. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  6. 17 CFR 230.145 - Reclassification of securities, mergers, consolidations and acquisitions of assets.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Reclassification of securities... Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General... security in exchange for their existing security. Rule 145 embodies the Commission's determination that...

  7. 17 CFR 300.500 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.500 Section 300.500 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction of A...

  8. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 45 Public Welfare 1 2010-10-01 2010-10-01 false Security standards: General rules. 164.306 Section 164.306 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES ADMINISTRATIVE DATA STANDARDS AND RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected...

  9. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 45 Public Welfare 1 2011-10-01 2011-10-01 false Security standards: General rules. 164.306 Section 164.306 Public Welfare DEPARTMENT OF HEALTH AND HUMAN SERVICES ADMINISTRATIVE DATA STANDARDS AND RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected...

  10. 45 CFR 164.306 - Security standards: General rules.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 45 Public Welfare 1 2014-10-01 2014-10-01 false Security standards: General rules. 164.306 Section 164.306 Public Welfare Department of Health and Human Services ADMINISTRATIVE DATA STANDARDS AND RELATED REQUIREMENTS SECURITY AND PRIVACY Security Standards for the Protection of Electronic Protected...

  11. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  12. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  13. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  14. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  15. 17 CFR 240.31T - Temporary rule regarding fiscal year 2004.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  16. 78 FR 44771 - Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-24

    ...We are adopting amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act. The amendment to Rule 506 permits an issuer to engage in general solicitation or general advertising in offering and selling securities pursuant to Rule 506, provided that all purchasers of the securities are accredited investors and the issuer takes reasonable steps to verify that such purchasers are accredited investors. The amendment to Rule 506 also includes a non-exclusive list of methods that issuers may use to satisfy the verification requirement for purchasers who are natural persons. The amendment to Rule 144A provides that securities may be offered pursuant to Rule 144A to persons other than qualified institutional buyers, provided that the securities are sold only to persons that the seller and any person acting on behalf of the seller reasonably believe are qualified institutional buyers. We are also revising Form D to require issuers to indicate whether they are relying on the provision that permits general solicitation or general advertising in a Rule 506 offering. Also today, in a separate release, to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to Rule 506 to disqualify issuers and other market participants from relying on Rule 506 if ``felons and other `bad actors' '' are participating in the Rule 506 offering. We are also today, in a separate release, publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act that are intended to enhance the Commission's ability to evaluate the development of market practices in Rule 506 offerings and address certain comments made in connection with implementing Section 201(a)(1) of the Jumpstart Our Business Startups Act.

  17. 17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Adoption, revision, and rescission of rules and regulations of general application. 202.6 Section 202.6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION INFORMAL AND OTHER PROCEDURES § 202.6 Adoption, revision, and rescission of rules and regulations of...

  18. 17 CFR 147.1 - General policy considerations, purpose and scope of rules relating to open Commission meetings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false General policy considerations, purpose and scope of rules relating to open Commission meetings. 147.1 Section 147.1 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OPEN COMMISSION MEETINGS § 147.1 General policy considerations, purpose and scope of rules...

  19. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  20. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  1. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  2. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  3. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  4. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  5. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  6. 17 CFR 240.16a-4 - Derivative securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Derivative securities. 240.16a-4 Section 240.16a-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  7. 17 CFR 240.16c-4 - Derivative securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Derivative securities. 240.16c-4 Section 240.16c-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  8. 17 CFR 240.16b-6 - Derivative securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Derivative securities. 240.16b-6 Section 240.16b-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  9. 17 CFR 240.12b-3 - Title of securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Title of securities. 240.12b-3 Section 240.12b-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  10. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  11. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  12. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  13. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  14. 17 CFR 201.104 - Business hours.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Business hours. 201.104 Section 201.104 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.104 Business hours. The Headquarters office of the Commission, at...

  15. 17 CFR 201.153 - Filing of papers: Signature requirement and effect.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Filing of papers: Signature requirement and effect. 201.153 Section 201.153 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.153 Filing of papers: Signature...

  16. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 240.3a55-3 Section 240.3a55-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  17. 17 CFR 240.3a55-3 - Futures contracts on security indexes trading on or subject to the rules of a foreign board of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 240.3a55-3 Section 240.3a55-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  18. 29 CFR 2550.407a-1 - General rule for the acquisition and holding of employer securities and employer real property.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 29 Labor 9 2010-07-01 2010-07-01 false General rule for the acquisition and holding of employer securities and employer real property. 2550.407a-1 Section 2550.407a-1 Labor Regulations Relating to Labor (Continued) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR FIDUCIARY RESPONSIBILITY UNDER THE...

  19. 17 CFR 240.14d-6 - Disclosure of tender offer information to security holders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Disclosure of tender offer information to security holders. 240.14d-6 Section 240.14d-6 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  20. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  1. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  2. 17 CFR 240.6a-2 - Amendments to application.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Amendments to application. 240.6a-2 Section 240.6a-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  3. 17 CFR 240.14a-17 - Electronic shareholder forums.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Electronic shareholder forums. 240.14a-17 Section 240.14a-17 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  4. 17 CFR 230.190 - Registration of underlying securities in asset-backed securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Registration of underlying securities in asset-backed securities transactions. 230.190 Section 230.190 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General...

  5. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  6. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  7. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  8. 17 CFR 240.15Ba2-6T - Temporary registration as a municipal advisor; required amendments; and withdrawal from temporary...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary registration as a....15Ba2-6T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  9. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  10. 17 CFR 230.155 - Integration of abandoned offerings.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Integration of abandoned... GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.155 Integration of abandoned offerings... from integration of private and registered offerings. Because of the objectives of Rule 155 and the...

  11. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  12. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  13. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  14. 20 CFR 416.1170 - General.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Alternative Income Counting Rules for Certain Blind Individuals § 416.1170 General. (a) What the alternative is. If you are blind and meet the requirements in § 416.1171, we use one of two rules to see how...

  15. 17 CFR 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Requirements for cancellation....17Ad-19 Section 240.17Ad-19 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  16. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  17. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  18. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  19. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  20. 17 CFR 240.6a-3 - Supplemental material to be filed by exchanges.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Supplemental material to be filed by exchanges. 240.6a-3 Section 240.6a-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  1. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  2. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  3. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  4. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  5. 17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...

  6. 17 CFR 240.14d-2 - Commencement of a tender offer.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Commencement of a tender offer. 240.14d-2 Section 240.14d-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  7. 17 CFR 240.14a-12 - Solicitation before furnishing a proxy statement.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Solicitation before furnishing a proxy statement. 240.14a-12 Section 240.14a-12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and...

  8. 17 CFR 240.15b9-1 - Exemption for certain exchange members.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for certain exchange members. 240.15b9-1 Section 240.15b9-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  9. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  10. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  11. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  12. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  13. 17 CFR 240.12d1-5 - Operation of certification on subsequent amendments.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Operation of certification on subsequent amendments. 240.12d1-5 Section 240.12d1-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange...

  14. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  15. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  16. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  17. 17 CFR 240.17Ad-13 - Annual study and evaluation of internal accounting control.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Annual study and evaluation of internal accounting control. 240.17Ad-13 Section 240.17Ad-13 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities...

  18. 17 CFR 240.36a1-2 - Exemption from SIPA for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from SIPA for OTC derivatives dealers. 240.36a1-2 Section 240.36a1-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations...

  19. 78 FR 44806 - Amendments to Regulation D, Form D and Rule 156

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-24

    ...The Securities and Exchange Commission, which today in separate releases amended Rule 506 of Regulation D, Form D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act and Section 926 of the Dodd- Frank Wall Street Reform and Consumer Protection Act, is publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act. These proposed amendments are intended to enhance the Commission's ability to evaluate the development of market practices in Rule 506 offerings and to address concerns that may arise in connection with permitting issuers to engage in general solicitation and general advertising under new paragraph (c) of Rule 506. Specifically, the proposed amendments to Regulation D would require the filing of a Form D in Rule 506(c) offerings before the issuer engages in general solicitation; require the filing of a closing amendment to Form D after the termination of any Rule 506 offering; require written general solicitation materials used in Rule 506(c) offerings to include certain legends and other disclosures; require the submission, on a temporary basis, of written general solicitation materials used in Rule 506(c) offerings to the Commission; and disqualify an issuer from relying on Rule 506 for one year for future offerings if the issuer, or any predecessor or affiliate of the issuer, did not comply, within the last five years, with Form D filing requirements in a Rule 506 offering. The proposed amendments to Form D would require an issuer to include additional information about offerings conducted in reliance on Regulation D. Finally, the proposed amendments to Rule 156 would extend the antifraud guidance contained in the rule to the sales literature of private funds.

  20. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  1. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  2. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...

  3. 76 FR 80241 - Revisions to Rules of Conduct and Standards of Responsibility for Representatives

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-23

    ... SOCIAL SECURITY ADMINISTRATION 20 CFR Parts 404 and 416 [Docket No. SSA-2011-0016] RIN 0960-AH32 Revisions to Rules of Conduct and Standards of Responsibility for Representatives AGENCY: Social Security.... FOR FURTHER INFORMATION CONTACT: Andrew Maunz, Office of the General Counsel, Social Security...

  4. 49 CFR 1540.3 - Delegation of authority.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 9 2014-10-01 2014-10-01 false Delegation of authority. 1540.3 Section 1540.3 Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY CIVIL AVIATION SECURITY: GENERAL RULES General § 1540...

  5. 17 CFR 300.200 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.200 Section 300.200 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts Introduced by Other Brokers...

  6. 17 CFR 204.3 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false General. 204.3 Section 204.3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION RULES RELATING TO DEBT COLLECTION...; the Social Security Act; or the tariff laws of the United States. (e) The procedures for...

  7. 17 CFR 300.100 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false General. 300.100 Section 300.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Accounts of âseparateâ Customers of...

  8. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2005-04-01

    ... 17 Commodity and Securities Exchanges 3 2005-04-01 2005-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  9. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  10. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  11. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each...

  12. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  13. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2005-04-01

    ... 17 Commodity and Securities Exchanges 3 2005-04-01 2005-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each...

  14. 17 CFR 230.173 - Notice of registration.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Notice of registration. 230.173 Section 230.173 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.173 Notice of registration. (a) In a...

  15. 19 CFR 201.43 - Program.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... who is responsible for implementation and oversight of information security programs and procedures... complaints regarding all elements of the information security program shall be directed to the Director of... UNITED STATES INTERNATIONAL TRADE COMMISSION GENERAL RULES OF GENERAL APPLICATION National Security...

  16. 17 CFR 240.15c3-4 - Internal risk management control systems for OTC derivatives dealers.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Internal risk management control systems for OTC derivatives dealers. 240.15c3-4 Section 240.15c3-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the...

  17. 6 CFR 5.1 - General provisions.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 6 Domestic Security 1 2010-01-01 2010-01-01 false General provisions. 5.1 Section 5.1 Domestic Security DEPARTMENT OF HOMELAND SECURITY, OFFICE OF THE SECRETARY DISCLOSURE OF RECORDS AND INFORMATION Freedom of Information Act § 5.1 General provisions. (a)(1) This subpart A contains the rules that the...

  18. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  19. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  20. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  1. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  2. 17 CFR 230.135a - Generic advertising.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Generic advertising. 230.135a Section 230.135a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.135a Generic advertising. (a) For the purposes only of...

  3. 17 CFR 230.110 - Business hours of the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Business hours of the Commission. 230.110 Section 230.110 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.110 Business hours of the Commission...

  4. 31 CFR 1023.300 - General.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.300 General. Brokers or dealers in securities are... in securities should also refer to subpart C of part 1010 of this chapter for reporting requirements...

  5. 31 CFR 1023.300 - General.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.300 General. Brokers or dealers in securities are... in securities should also refer to subpart C of part 1010 of this chapter for reporting requirements...

  6. 31 CFR 1023.300 - General.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.300 General. Brokers or dealers in securities are... in securities should also refer to subpart C of part 1010 of this chapter for reporting requirements...

  7. 31 CFR 1023.300 - General.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Reports Required To Be Made By Brokers or Dealers in Securities § 1023.300 General. Brokers or dealers in securities are... in securities should also refer to subpart C of part 1010 of this chapter for reporting requirements...

  8. 31 CFR 1023.600 - General.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.600 General. Brokers or dealers in securities are subject to the special standards of diligence; prohibitions...

  9. 31 CFR 1023.600 - General.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.600 General. Brokers or dealers in securities are subject to the special standards of diligence; prohibitions...

  10. 31 CFR 1023.600 - General.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.600 General. Brokers or dealers in securities are subject to the special standards of diligence; prohibitions...

  11. 31 CFR 1023.600 - General.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Standards of Diligence; Prohibitions; and Special Measures for Brokers or Dealers in Securities § 1023.600 General. Brokers or dealers in securities are subject to the special standards of diligence; prohibitions...

  12. 49 CFR 1540.203 - Security threat assessment.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 9 2014-10-01 2014-10-01 false Security threat assessment. 1540.203 Section 1540.203 Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY CIVIL AVIATION SECURITY: GENERAL RULES...

  13. 17 CFR 8.02 - Implementing exchange rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Implementing exchange rules. 8.02 Section 8.02 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS General Provisions § 8.02 Implementing...

  14. Approach to design neural cryptography: a generalized architecture and a heuristic rule.

    PubMed

    Mu, Nankun; Liao, Xiaofeng; Huang, Tingwen

    2013-06-01

    Neural cryptography, a type of public key exchange protocol, is widely considered as an effective method for sharing a common secret key between two neural networks on public channels. How to design neural cryptography remains a great challenge. In this paper, in order to provide an approach to solve this challenge, a generalized network architecture and a significant heuristic rule are designed. The proposed generic framework is named as tree state classification machine (TSCM), which extends and unifies the existing structures, i.e., tree parity machine (TPM) and tree committee machine (TCM). Furthermore, we carefully study and find that the heuristic rule can improve the security of TSCM-based neural cryptography. Therefore, TSCM and the heuristic rule can guide us to designing a great deal of effective neural cryptography candidates, in which it is possible to achieve the more secure instances. Significantly, in the light of TSCM and the heuristic rule, we further expound that our designed neural cryptography outperforms TPM (the most secure model at present) on security. Finally, a series of numerical simulation experiments are provided to verify validity and applicability of our results.

  15. 17 CFR 230.165 - Offers made in connection with a business combination transaction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Offers made in connection with a business combination transaction. 230.165 Section 230.165 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.165...

  16. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  17. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  18. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  19. 17 CFR 230.602 - Securities exempted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Securities exempted. 230.602 Section 230.602 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business Investment...

  20. 49 CFR 1540.207 - [Reserved

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 49 Transportation 9 2014-10-01 2014-10-01 false [Reserved] 1540.207 Section 1540.207 Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY CIVIL AVIATION SECURITY: GENERAL RULES Security...

  1. 14 CFR 99.7 - Special security instructions.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false Special security instructions. 99.7 Section 99.7 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC General § 99.7 Special...

  2. 31 CFR 1023.400 - General.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Records Required To Be Maintained by Brokers or Dealers in Securities § 1023.400 General. Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart...

  3. 31 CFR 1023.400 - General.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Records Required To Be Maintained by Brokers or Dealers in Securities § 1023.400 General. Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart...

  4. 31 CFR 1023.400 - General.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Records Required To Be Maintained by Brokers or Dealers in Securities § 1023.400 General. Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart...

  5. 31 CFR 1023.400 - General.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Records Required To Be Maintained by Brokers or Dealers in Securities § 1023.400 General. Brokers or dealers in securities are subject to the recordkeeping requirements set forth and cross referenced in this subpart...

  6. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  7. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  8. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  9. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  10. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  11. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  12. 17 CFR 230.156 - Investment company sales literature.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investment company sales... GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.156 Investment company sales... is materially misleading in connection with the offer or sale of securities issued by an investment...

  13. 17 CFR 230.156 - Investment company sales literature.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Investment company sales... GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.156 Investment company sales... is materially misleading in connection with the offer or sale of securities issued by an investment...

  14. 28 CFR 501.2 - National security cases.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 28 Judicial Administration 2 2012-07-01 2012-07-01 false National security cases. 501.2 Section 501.2 Judicial Administration BUREAU OF PRISONS, DEPARTMENT OF JUSTICE GENERAL MANAGEMENT AND ADMINISTRATION SCOPE OF RULES § 501.2 National security cases. (a) Upon direction of the Attorney General, the...

  15. 28 CFR 501.2 - National security cases.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 28 Judicial Administration 2 2014-07-01 2014-07-01 false National security cases. 501.2 Section 501.2 Judicial Administration BUREAU OF PRISONS, DEPARTMENT OF JUSTICE GENERAL MANAGEMENT AND ADMINISTRATION SCOPE OF RULES § 501.2 National security cases. (a) Upon direction of the Attorney General, the...

  16. 28 CFR 501.2 - National security cases.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 28 Judicial Administration 2 2013-07-01 2013-07-01 false National security cases. 501.2 Section 501.2 Judicial Administration BUREAU OF PRISONS, DEPARTMENT OF JUSTICE GENERAL MANAGEMENT AND ADMINISTRATION SCOPE OF RULES § 501.2 National security cases. (a) Upon direction of the Attorney General, the...

  17. 28 CFR 501.2 - National security cases.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 28 Judicial Administration 2 2011-07-01 2011-07-01 false National security cases. 501.2 Section 501.2 Judicial Administration BUREAU OF PRISONS, DEPARTMENT OF JUSTICE GENERAL MANAGEMENT AND ADMINISTRATION SCOPE OF RULES § 501.2 National security cases. (a) Upon direction of the Attorney General, the...

  18. 28 CFR 501.2 - National security cases.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 28 Judicial Administration 2 2010-07-01 2010-07-01 false National security cases. 501.2 Section 501.2 Judicial Administration BUREAU OF PRISONS, DEPARTMENT OF JUSTICE GENERAL MANAGEMENT AND ADMINISTRATION SCOPE OF RULES § 501.2 National security cases. (a) Upon direction of the Attorney General, the...

  19. 17 CFR 242.402 - General provisions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... with Regulation T and the margin rules of the self-regulatory authorities of which the security futures... security future and related positions in accordance with the margin rules of the self-regulatory... same regulatory classification or account type and are owned by the same customer to be a single...

  20. 17 CFR 230.144 - Persons deemed not to be engaged in a distribution and therefore not underwriters.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Persons deemed not to be engaged in a distribution and therefore not underwriters. 230.144 Section 230.144 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General...

  1. 17 CFR 230.603 - Amount of securities exempted.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Amount of securities exempted. 230.603 Section 230.603 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  2. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  3. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  4. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  5. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  6. 17 CFR 260.7a-5 - Filing of amendments; number of copies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Filing of amendments; number of copies. 260.7a-5 Section 260.7a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 307 § 260.7a-5 Filing of amendments; number of copie...

  7. 17 CFR 232.12 - Business hours of the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Business hours of the Commission. 232.12 Section 232.12 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS General § 232.12 Business hours of the...

  8. 78 FR 11925 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... supervise sales of corporate securities and options, respectively. A person registering as a General... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68918; File No. SR-FINRA-2013-014] Self... Effectiveness of a Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10...

  9. 31 CFR 1023.200 - General.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Programs § 1023.200 General. Brokers or dealers in securities are subject to the program requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart B of part 1010 of...

  10. 31 CFR 1023.200 - General.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Programs § 1023.200 General. Brokers or dealers in securities are subject to the program requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart B of part 1010 of...

  11. 31 CFR 1023.200 - General.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Programs § 1023.200 General. Brokers or dealers in securities are subject to the program requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart B of part 1010 of...

  12. 31 CFR 1023.200 - General.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Programs § 1023.200 General. Brokers or dealers in securities are subject to the program requirements set forth and cross referenced in this subpart. Brokers or dealers in securities should also refer to subpart B of part 1010 of...

  13. 77 FR 70855 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-27

    ... following activities associated with the conduct of municipal securities business: underwriting; trading... control policies and written procedures'' to reflect amendment to the rule. Conduct of Business ``Definitions; general standard for advertisements'' is added to the description for Rule G-21(a). ``Product...

  14. 17 CFR 12.5 - Computation of time.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Computation of time. 12.5 Section 12.5 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... general. In computing any period of time prescribed by these rules or allowed by the Commission, the...

  15. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  16. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  17. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  18. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  19. 17 CFR 230.153a - Definition of “preceded by a prospectus” as used in section 5(b)(2) of the Act, in relation to...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Definition of âpreceded by a... security holders. 230.153a Section 230.153a Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.153a Definition of “preceded...

  20. 17 CFR 230.610 - Suspension of exemption.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Suspension of exemption. 230.610 Section 230.610 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  1. 17 CFR 230.608 - Prohibition of certain statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Prohibition of certain statements. 230.608 Section 230.608 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small...

  2. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  3. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  4. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  5. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  6. 49 CFR 1542.1 - Applicability of this part.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY AIRPORT SECURITY General § 1542.1 Applicability of this part. This part describes aviation security rules governing: (a) The operation of airports.... (c) Each airport operator that receives a Security Directive or Information Circular and each person...

  7. 17 CFR 250.102 - Effective date of rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Effective date of rules. 250...) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Miscellaneous Rules § 250.102 Effective date of rules. Unless the Commission otherwise prescribes in any case, the manner of publication...

  8. 19 CFR 201.42 - Purpose and scope.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Duties UNITED STATES INTERNATIONAL TRADE COMMISSION GENERAL RULES OF GENERAL APPLICATION National Security Information § 201.42 Purpose and scope. The following regulation supplements Executive Order 12356, National Security Information, April 2, 1982, as it applies to the Commission. ...

  9. 19 CFR 201.43 - Program.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... UNITED STATES INTERNATIONAL TRADE COMMISSION GENERAL RULES OF GENERAL APPLICATION National Security Information § 201.43 Program. The Director of Administration is designated as the official of the Commission who is responsible for implementation and oversight of information security programs and procedures...

  10. 49 CFR 1540.205 - Procedures for security threat assessment.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... threat; (ii) The basis for the determination; (iii) Information about how the applicant may appeal the... 49 Transportation 9 2010-10-01 2010-10-01 false Procedures for security threat assessment. 1540... SECURITY: GENERAL RULES Security Threat Assessments § 1540.205 Procedures for security threat assessment...

  11. 17 CFR 230.651-230.656 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false [Reserved] 230.651-230.656 Section 230.651-230.656 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  12. 17 CFR 230.609 - Reports of sales hereunder.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Reports of sales hereunder. 230.609 Section 230.609 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small Business...

  13. 49 CFR 33.40 - General provisions.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... Priorities Assistance § 33.40 General provisions. (a) TPAS is designed to be largely self-executing. However... immediately contact DOT's Defense Production Act Activities Coordinator, Office of Intelligence, Security, and... rule) to the Defense Production Act Activities Coordinator, Office of Intelligence, Security, and...

  14. 49 CFR 33.40 - General provisions.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... Priorities Assistance § 33.40 General provisions. (a) TPAS is designed to be largely self-executing. However... immediately contact DOT's Defense Production Act Activities Coordinator, Office of Intelligence, Security, and... rule) to the Defense Production Act Activities Coordinator, Office of Intelligence, Security, and...

  15. 33 CFR 101.400 - Enforcement.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 33 Navigation and Navigable Waters 1 2011-07-01 2011-07-01 false Enforcement. 101.400 Section 101.400 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY MARITIME SECURITY MARITIME SECURITY: GENERAL Control Measures for Security § 101.400 Enforcement. (a) The rules and...

  16. 17 CFR 230.481 - Information required in prospectuses.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Information required in prospectuses. 230.481 Section 230.481 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business Development Companies...

  17. 17 CFR 240.12a-5 - Temporary exemption of substituted or additional securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary exemption of substituted or additional securities. 240.12a-5 Section 240.12a-5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  18. 17 CFR 230.167 - Communications in connection with certain registered offerings of asset-backed securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Communications in connection with certain registered offerings of asset-backed securities. 230.167 Section 230.167 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933...

  19. 17 CFR 230.480 - Title of securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Title of securities. 230.480 Section 230.480 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or non...

  20. 17 CFR 230.480 - Title of securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Title of securities. 230.480 Section 230.480 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or non...

  1. 17 CFR 230.480 - Title of securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Title of securities. 230.480 Section 230.480 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or non...

  2. 17 CFR 230.702(T)-230.703(T) - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false [Reserved] 230.702(T)-230.703(T) Section 230.702(T)-230.703(T) Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of...

  3. 49 CFR 1540.209 - Fees for security threat assessment.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 49 Transportation 9 2010-10-01 2010-10-01 false Fees for security threat assessment. 1540.209...: GENERAL RULES Security Threat Assessments § 1540.209 Fees for security threat assessment. This section describes the payment process for completion of the security threat assessments required under subpart. (a...

  4. 17 CFR 230.606 - Offering not in excess of $100,000.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Offering not in excess of $100,000. 230.606 Section 230.606 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation E-Exemption for Securities of Small...

  5. 17 CFR 260.10b-5 - Content.

    Code of Federal Regulations, 2010 CFR

    2000-04-01

    ... 17 Commodity and Securities Exchanges 3 2000-04-01 2000-04-01 false Content. 260.10b-5 Section 260.10b-5 Commodity and Securities Exchanges GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rule Under Section 310 § 260.10b-5 Content. (a) Each application for a stay of a trustee's duty to...

  6. 17 CFR 260.4d-8 - Content.

    Code of Federal Regulations, 2010 CFR

    2000-04-01

    ... 17 Commodity and Securities Exchanges 3 2000-04-01 2000-04-01 false Content. 260.4d-8 Section 260.4d-8 Commodity and Securities Exchanges GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Rules Under Section 304 § 260.4d-8 Content. (a) Each application for an order under section 304(d) of...

  7. Algorithm Diversity for Resilent Systems

    DTIC Science & Technology

    2016-06-27

    data structures. 15. SUBJECT TERMS computer security, software diversity, program transformation 16. SECURITY CLASSIFICATION OF: 17. LIMITATION OF 18...systematic method for transforming Datalog rules with general universal and existential quantification into efficient algorithms with precise complexity...worst case in the size of the ground rules. There are numerous choices during the transformation that lead to diverse algorithms and different

  8. 20 CFR 416.1147a - Income rules in change-of-status situations involving in-kind support and maintenance.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... involving in-kind support and maintenance. 416.1147a Section 416.1147a Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and... support and maintenance. (a) General. This section explains the rules for determining countable income...

  9. 20 CFR 416.1147a - Income rules in change-of-status situations involving in-kind support and maintenance.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... involving in-kind support and maintenance. 416.1147a Section 416.1147a Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and... support and maintenance. (a) General. This section explains the rules for determining countable income...

  10. 17 CFR 250.25 - Answers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Answers. 250.25 Section 250.25 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND... therein appropriate reservations of constitutional or other legal rights. ...

  11. 46 CFR 174.075 - Compartments assumed flooded: general.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 46 Shipping 7 2010-10-01 2010-10-01 false Compartments assumed flooded: general. 174.075 Section 174.075 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) SUBDIVISION AND STABILITY SPECIAL RULES PERTAINING TO SPECIFIC VESSEL TYPES Special Rules Pertaining to Mobile Offshore Drilling...

  12. 46 CFR 174.070 - General damage stability assumptions.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 46 Shipping 7 2013-10-01 2013-10-01 false General damage stability assumptions. 174.070 Section 174.070 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) SUBDIVISION AND STABILITY SPECIAL RULES PERTAINING TO SPECIFIC VESSEL TYPES Special Rules Pertaining to Mobile Offshore Drilling...

  13. 46 CFR 174.070 - General damage stability assumptions.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 46 Shipping 7 2010-10-01 2010-10-01 false General damage stability assumptions. 174.070 Section 174.070 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) SUBDIVISION AND STABILITY SPECIAL RULES PERTAINING TO SPECIFIC VESSEL TYPES Special Rules Pertaining to Mobile Offshore Drilling...

  14. 46 CFR 174.075 - Compartments assumed flooded: general.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 46 Shipping 7 2013-10-01 2013-10-01 false Compartments assumed flooded: general. 174.075 Section 174.075 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) SUBDIVISION AND STABILITY SPECIAL RULES PERTAINING TO SPECIFIC VESSEL TYPES Special Rules Pertaining to Mobile Offshore Drilling...

  15. 49 CFR 1540.5 - Terms used in this subchapter.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY CIVIL AVIATION SECURITY: GENERAL RULES... aviation areas) that are not separated by adequate security systems, measures, or procedures. This area... measures in accordance with § 1542.111 of this chapter. FAA means the Federal Aviation Administration...

  16. 49 CFR 1540.103 - Fraud and intentional falsification of records.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ...) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY CIVIL AVIATION SECURITY CIVIL AVIATION SECURITY: GENERAL RULES Responsibilities of Passengers and Other Individuals and Persons § 1540.103 Fraud... 49 Transportation 9 2010-10-01 2010-10-01 false Fraud and intentional falsification of records...

  17. 17 CFR 230.484 - Undertaking required in certain registration statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Undertaking required in certain registration statements. 230.484 Section 230.484 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business...

  18. 17 CFR 230.133 - Definition for purposes of section 5 of the Act, of “sale”, “offer”, “offer to sell”, and “offer...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Definition for purposes of... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.133 Definition for purposes of section 5 of the Act, of “sale”, “offer...

  19. 20 CFR 416.1180 - General.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Rules for Helping Blind and Disabled Individuals Achieve Self-Support § 416.1180 General. One of the objectives of the SSI program is to help blind or disabled persons become self-supporting. If you...

  20. 20 CFR 416.1180 - General.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Rules for Helping Blind and Disabled Individuals Achieve Self-Support § 416.1180 General. One of the objectives of the SSI program is to help blind or disabled persons become self-supporting. If you...

  1. 20 CFR 416.1180 - General.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Rules for Helping Blind and Disabled Individuals Achieve Self-Support § 416.1180 General. One of the objectives of the SSI program is to help blind or disabled persons become self-supporting. If you...

  2. 20 CFR 416.1180 - General.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Rules for Helping Blind and Disabled Individuals Achieve Self-Support § 416.1180 General. One of the objectives of the SSI program is to help blind or disabled persons become self-supporting. If you...

  3. 20 CFR 416.1180 - General.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income Rules for Helping Blind and Disabled Individuals Achieve Self-Support § 416.1180 General. One of the objectives of the SSI program is to help blind or disabled persons become self-supporting. If you...

  4. 20 CFR 404.1081 - General rules for figuring net earnings from self-employment.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... self-employment. 404.1081 Section 404.1081 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income Self-Employment Income § 404.1081 General rules for figuring net earnings from self...

  5. 20 CFR 404.1081 - General rules for figuring net earnings from self-employment.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... self-employment. 404.1081 Section 404.1081 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income Self-Employment Income § 404.1081 General rules for figuring net earnings from self...

  6. 20 CFR 404.1081 - General rules for figuring net earnings from self-employment.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... self-employment. 404.1081 Section 404.1081 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income Self-Employment Income § 404.1081 General rules for figuring net earnings from self...

  7. 20 CFR 404.1081 - General rules for figuring net earnings from self-employment.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... self-employment. 404.1081 Section 404.1081 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income Self-Employment Income § 404.1081 General rules for figuring net earnings from self...

  8. 20 CFR 404.1081 - General rules for figuring net earnings from self-employment.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... self-employment. 404.1081 Section 404.1081 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income Self-Employment Income § 404.1081 General rules for figuring net earnings from self...

  9. 17 CFR 230.259 - Withdrawal or abandonment of offering statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Withdrawal or abandonment of offering statements. 230.259 Section 230.259 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Regulation A-Conditional Small Issues...

  10. 49 CFR 1520.11 - Persons with a need to know.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ....11 Transportation Other Regulations Relating to Transportation (Continued) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION PROTECTION OF SENSITIVE SECURITY INFORMATION § 1520.11 Persons with a need to know. (a) In general. A person has a need to...

  11. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  12. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  13. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  14. 17 CFR 240.12g3-2 - Exemptions for American depositary receipts and certain foreign securities.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemptions for American depositary receipts and certain foreign securities. 240.12g3-2 Section 240.12g3-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  15. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  16. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  17. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  18. 17 CFR 240.12h-7 - Exemption for issuers of securities that are subject to insurance regulation.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Exemption for issuers of securities that are subject to insurance regulation. 240.12h-7 Section 240.12h-7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  19. 17 CFR 240.15d-23 - Reporting regarding certain securities underlying asset-backed securities under section 15(d) of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Reporting regarding certain securities underlying asset-backed securities under section 15(d) of the Act. 240.15d-23 Section 240.15d-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND...

  20. Secure ADS-B: Towards Airborne Communications Security in the Federal Aviation Administration’s Next Generation Air Transportation System

    DTIC Science & Technology

    2014-03-01

    76 5.2 Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 5.3 Recommendations for Future Work...Global Positioning System ICAO International Civil Aviation Organization IFF Identification Friend or Foe IFR Instrument Flight Rules IMO...Instrument Flight Rules ( IFR ). Under VFR, typically used by General Aviation (GA) aircraft operating under 18,000 feet, the pilot is primarily responsible

  1. 17 CFR 230.801 - Exemption in connection with a rights offering.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exemption in connection with a rights offering. 230.801 Section 230.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Exemptions for Cross-Border Rights Offerings...

  2. 18 CFR 3a.51 - Designation of security officers.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 18 Conservation of Power and Water Resources 1 2013-04-01 2013-04-01 false Designation of security officers. 3a.51 Section 3a.51 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Security Officers § 3a.51...

  3. 18 CFR 3a.51 - Designation of security officers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 18 Conservation of Power and Water Resources 1 2010-04-01 2010-04-01 false Designation of security officers. 3a.51 Section 3a.51 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Security Officers § 3a.51...

  4. 18 CFR 3a.51 - Designation of security officers.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 18 Conservation of Power and Water Resources 1 2012-04-01 2012-04-01 false Designation of security officers. 3a.51 Section 3a.51 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Security Officers § 3a.51...

  5. 18 CFR 3a.51 - Designation of security officers.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 18 Conservation of Power and Water Resources 1 2014-04-01 2014-04-01 false Designation of security officers. 3a.51 Section 3a.51 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Security Officers § 3a.51...

  6. 45 CFR 164.502 - Uses and disclosures of protected health information: General rules.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 45 Public Welfare 1 2014-10-01 2014-10-01 false Uses and disclosures of protected health information: General rules. 164.502 Section 164.502 Public Welfare Department of Health and Human Services ADMINISTRATIVE DATA STANDARDS AND RELATED REQUIREMENTS SECURITY AND PRIVACY Privacy of Individually Identifiable...

  7. 26 CFR 1.199-0 - Table of contents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... receipts. (1) In general. (2) Reasonable method of allocation. (3) De minimis rules. (i) DPGR. (ii) Non... of completion method. (3) Examples. § 1.199-2Wage limitation. (a) Rules of application. (1) In... reported on return filed with the Social Security Administration. (i) In general. (ii) Corrected return...

  8. 76 FR 20506 - Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-13

    ... Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations AGENCY... the term ``self-regulatory organization'' to mean any national securities exchange, registered... facilities of the self- regulatory organization'' or ``[a]ny statement made generally available'' that...

  9. 46 CFR 188.05-33 - Scientific personnel-interpretive rulings.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 46 Shipping 7 2011-10-01 2011-10-01 false Scientific personnel-interpretive rulings. 188.05-33 Section 188.05-33 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-33 Scientific personnel—interpretive rulings. (a...

  10. 46 CFR 188.05-33 - Scientific personnel-interpretive rulings.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 46 Shipping 7 2014-10-01 2014-10-01 false Scientific personnel-interpretive rulings. 188.05-33 Section 188.05-33 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-33 Scientific personnel—interpretive rulings. (a...

  11. 46 CFR 188.05-33 - Scientific personnel-interpretive rulings.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 46 Shipping 7 2013-10-01 2013-10-01 false Scientific personnel-interpretive rulings. 188.05-33 Section 188.05-33 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-33 Scientific personnel—interpretive rulings. (a...

  12. 46 CFR 188.05-33 - Scientific personnel-interpretive rulings.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 46 Shipping 7 2012-10-01 2012-10-01 false Scientific personnel-interpretive rulings. 188.05-33 Section 188.05-33 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-33 Scientific personnel—interpretive rulings. (a...

  13. 33 CFR 167.10 - Operating rules.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 33 Navigation and Navigable Waters 2 2010-07-01 2010-07-01 false Operating rules. 167.10 Section 167.10 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) PORTS AND WATERWAYS SAFETY OFFSHORE TRAFFIC SEPARATION SCHEMES General § 167.10 Operating rules. The...

  14. 76 FR 81359 - National Security Personnel System

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-28

    ... contains regulatory documents #0;having general applicability and legal effect, most of which are keyed #0... Security Personnel System AGENCY: Department of Defense; Office of Personnel Management. ACTION: Final rule... concerning the National Security Personnel System (NSPS). Section 1113 of the National Defense Authorization...

  15. 26 CFR 1.475-0 - Table of contents.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... of corrections. § 1.475(c)-1Definitions—dealer in securities. (a) Dealer-customer relationship. (1...) Financial statement value. (3) Management of a business as a dealer. (4) Significant use. (k) Retention and...) Securities deemed identified as held for investment. (1) In general. (2) Relationships. (i) General rule. (ii...

  16. 17 CFR 240.3b-4 - Definition of “foreign government,” “foreign issuer” and “foreign private issuer”.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... voting securities beneficially owned by residents of the United States as reported on reports of... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Definition of âforeign... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES...

  17. 17 CFR 250.103 - References and definitions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false References and definitions... (CONTINUED) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Miscellaneous Rules § 250.103 References and definitions. As used in the rules in this part, unless the context indicates...

  18. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  19. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  20. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  1. 17 CFR 240.17g-4 - Prevention of misuse of material nonpublic information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Prevention of misuse of material nonpublic information. 240.17g-4 Section 240.17g-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  2. 17 CFR 240.0-2 - Business hours of the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Business hours of the Commission. 240.0-2 Section 240.0-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules of General Application § 240.0-2 Business hours of the Commission. (a...

  3. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  4. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  5. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  6. 17 CFR 240.17a-23 - Recordkeeping and reporting requirements relating to broker-dealer trading systems.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Recordkeeping and reporting requirements relating to broker-dealer trading systems. 240.17a-23 Section 240.17a-23 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE...

  7. 31 CFR 1023.500 - General.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information... in securities are subject to the special information sharing procedures to deter money laundering and... securities should also refer to subpart E of part 1010 of this chapter for special information sharing...

  8. 31 CFR 1023.500 - General.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information... in securities are subject to the special information sharing procedures to deter money laundering and... securities should also refer to subpart E of part 1010 of this chapter for special information sharing...

  9. 31 CFR 1023.500 - General.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information... in securities are subject to the special information sharing procedures to deter money laundering and... securities should also refer to subpart E of part 1010 of this chapter for special information sharing...

  10. 31 CFR 1023.500 - General.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... ENFORCEMENT NETWORK, DEPARTMENT OF THE TREASURY RULES FOR BROKERS OR DEALERS IN SECURITIES Special Information... in securities are subject to the special information sharing procedures to deter money laundering and... securities should also refer to subpart E of part 1010 of this chapter for special information sharing...

  11. 77 FR 25003 - Self-Regulatory Organizations; NASDAQ OMX Phlx LLC; Order Approving Proposed Rule Change To Amend...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-26

    ... and generally requires the Series 7 examination for Registered Representatives,\\4\\ Principals,\\5\\ off....\\11\\ Before their registration can become effective, they must pass the Series 7 examination. The... Rule 1(cc) register with the Exchange as a General Securities Representative and pass the Series 7...

  12. 46 CFR 188.05-35 - Load lines-interpretive ruling.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 46 Shipping 7 2014-10-01 2014-10-01 false Load lines-interpretive ruling. 188.05-35 Section 188.05-35 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-35 Load lines—interpretive ruling. (a) Certificated vessels shall...

  13. 46 CFR 188.05-35 - Load lines-interpretive ruling.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 46 Shipping 7 2013-10-01 2013-10-01 false Load lines-interpretive ruling. 188.05-35 Section 188.05-35 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-35 Load lines—interpretive ruling. (a) Certificated vessels shall...

  14. 46 CFR 188.05-35 - Load lines-interpretive ruling.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 46 Shipping 7 2011-10-01 2011-10-01 false Load lines-interpretive ruling. 188.05-35 Section 188.05-35 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-35 Load lines—interpretive ruling. (a) Certificated vessels shall...

  15. 46 CFR 188.05-35 - Load lines-interpretive ruling.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 46 Shipping 7 2012-10-01 2012-10-01 false Load lines-interpretive ruling. 188.05-35 Section 188.05-35 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-35 Load lines—interpretive ruling. (a) Certificated vessels shall...

  16. 46 CFR 188.05-35 - Load lines-interpretive ruling.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 46 Shipping 7 2010-10-01 2010-10-01 false Load lines-interpretive ruling. 188.05-35 Section 188.05-35 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) OCEANOGRAPHIC RESEARCH VESSELS GENERAL PROVISIONS Application § 188.05-35 Load lines—interpretive ruling. (a) Certificated vessels shall...

  17. 14 CFR 93.331 - Purpose and applicability of this subpart.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SPECIAL AIR TRAFFIC RULES Washington, DC... prescribes special air traffic rules for aircraft operating in the Washington, DC Metropolitan Area. Because identification and control of aircraft is required for reasons of national security, the areas described in this...

  18. 14 CFR 93.331 - Purpose and applicability of this subpart.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SPECIAL AIR TRAFFIC RULES Washington, DC... prescribes special air traffic rules for aircraft operating in the Washington, DC Metropolitan Area. Because identification and control of aircraft is required for reasons of national security, the areas described in this...

  19. 17 CFR 9.9 - Waiver of rules; delegation of authority.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... authority. 9.9 Section 9.9 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REVIEW OF EXCHANGE DISCIPLINARY, ACCESS DENIAL OR OTHER ADVERSE ACTIONS General Provisions § 9.9 Waiver of rules; delegation of authority. (a) Standards for waiver; notice to parties. To prevent...

  20. 31 CFR 356.32 - What tax rules apply?

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 31 Money and Finance: Treasury 2 2014-07-01 2014-07-01 false What tax rules apply? 356.32 Section 356.32 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FISCAL...) Miscellaneous Provisions § 356.32 What tax rules apply? (a) General. Securities issued under this part are...

  1. 31 CFR 356.32 - What tax rules apply?

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 31 Money and Finance: Treasury 2 2010-07-01 2010-07-01 false What tax rules apply? 356.32 Section 356.32 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FISCAL...) Miscellaneous Provisions § 356.32 What tax rules apply? (a) General. Securities issued under this part are...

  2. 31 CFR 356.32 - What tax rules apply?

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 31 Money and Finance:Treasury 2 2013-07-01 2013-07-01 false What tax rules apply? 356.32 Section 356.32 Money and Finance: Treasury Regulations Relating to Money and Finance (Continued) FISCAL...) Miscellaneous Provisions § 356.32 What tax rules apply? (a) General. Securities issued under this part are...

  3. 17 CFR 275.0-4 - General requirements of papers and applications.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... and applications. 275.0-4 Section 275.0-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.0-4 General requirements... date when they are actually received by it. (2) All filings required to be made electronically with the...

  4. 17 CFR 275.0-4 - General requirements of papers and applications.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... and applications. 275.0-4 Section 275.0-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.0-4 General requirements... date when they are actually received by it. (2) All filings required to be made electronically with the...

  5. 49 CFR 1522.3 - Fraud and intentional falsification of records.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 49 Transportation 9 2010-10-01 2010-10-01 false Fraud and intentional falsification of records...) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY SECURITY RULES FOR ALL MODES OF TRANSPORTATION TSA-APPROVED VALIDATION FIRMS AND VALIDATORS General § 1522.3 Fraud and intentional falsification...

  6. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  7. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  8. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  9. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  10. 17 CFR 287.2 - Periodic reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Periodic reports. 287.2 Section 287.2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT BANK ACT...

  11. 17 CFR 230.483 - Exhibits for certain registration statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment Companies; Business Development..., or a business development company which is selling or proposing to sell its securities pursuant to a... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exhibits for certain...

  12. 29 CFR 2550.408g-2 - Investment advice-fiduciary election.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 2550.408g-2 Labor Regulations Relating to Labor (Continued) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR FIDUCIARY RESPONSIBILITY UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 RULES...) General. Section 408(g)(11)(A) of the Employee Retirement Income Security Act, as amended (ERISA...

  13. 29 CFR 2550.408g-2 - Investment advice-fiduciary election.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 2550.408g-2 Labor Regulations Relating to Labor (Continued) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR FIDUCIARY RESPONSIBILITY UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 RULES...) General. Section 408(g)(11)(A) of the Employee Retirement Income Security Act, as amended (ERISA...

  14. 29 CFR 2550.408g-2 - Investment advice-fiduciary election.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 2550.408g-2 Labor Regulations Relating to Labor (Continued) EMPLOYEE BENEFITS SECURITY ADMINISTRATION, DEPARTMENT OF LABOR FIDUCIARY RESPONSIBILITY UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 RULES...) General. Section 408(g)(11)(A) of the Employee Retirement Income Security Act, as amended (ERISA...

  15. 17 CFR 240.12g5-2 - Definition of “total assets”.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the... total assets as shown on the issuer's balance sheet or the balance sheet of the issuer and its...

  16. 17 CFR 240.0-3 - Filing of material with the Commission.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Filing of material with the Commission. 240.0-3 Section 240.0-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... Securities Exchange Act of 1934 Rules of General Application § 240.0-3 Filing of material with the Commission...

  17. 20 CFR 404.611 - How do I file an application for Social Security benefits?

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 20 Employees' Benefits 2 2011-04-01 2011-04-01 false How do I file an application for Social Security benefits? 404.611 Section 404.611 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD... § 404.611 How do I file an application for Social Security benefits? (a) General rule. You must apply...

  18. 17 CFR 1.8 - Requests for interpretation of swaps, security-based swaps, and mixed swaps.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... swaps, security-based swaps, and mixed swaps. 1.8 Section 1.8 Commodity and Securities Exchanges... Requests for interpretation of swaps, security-based swaps, and mixed swaps. (a) In general. Any person may... Exchange Act and the rules and regulations promulgated thereunder; or (3) A mixed swap, as that term is...

  19. 17 CFR 1.8 - Requests for interpretation of swaps, security-based swaps, and mixed swaps.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... swaps, security-based swaps, and mixed swaps. 1.8 Section 1.8 Commodity and Securities Exchanges... Requests for interpretation of swaps, security-based swaps, and mixed swaps. (a) In general. Any person may... Exchange Act and the rules and regulations promulgated thereunder; or (3) A mixed swap, as that term is...

  20. 17 CFR 240.12h-1 - Exemptions from registration under section 12(g) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemptions from registration under section 12(g) of the Act. 240.12h-1 Section 240.12h-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  1. 17 CFR 240.15g-2 - Penny stock disclosure document relating to the penny stock market.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Penny stock disclosure document relating to the penny stock market. 240.15g-2 Section 240.15g-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  2. 20 CFR 404.611 - How do I file an application for Social Security benefits?

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 20 Employees' Benefits 2 2012-04-01 2012-04-01 false How do I file an application for Social Security benefits? 404.611 Section 404.611 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD... § 404.611 How do I file an application for Social Security benefits? (a) General rule. You must apply...

  3. 20 CFR 404.611 - How do I file an application for Social Security benefits?

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 20 Employees' Benefits 2 2014-04-01 2014-04-01 false How do I file an application for Social Security benefits? 404.611 Section 404.611 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD... § 404.611 How do I file an application for Social Security benefits? (a) General rule. You must apply...

  4. 20 CFR 404.611 - How do I file an application for Social Security benefits?

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 20 Employees' Benefits 2 2013-04-01 2013-04-01 false How do I file an application for Social Security benefits? 404.611 Section 404.611 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD... § 404.611 How do I file an application for Social Security benefits? (a) General rule. You must apply...

  5. 20 CFR 404.611 - How do I file an application for Social Security benefits?

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 20 Employees' Benefits 2 2010-04-01 2010-04-01 false How do I file an application for Social Security benefits? 404.611 Section 404.611 Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD... § 404.611 How do I file an application for Social Security benefits? (a) General rule. You must apply...

  6. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  7. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  8. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  9. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  10. 17 CFR 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Year 2000 Reports to be made by certain transfer agents. 240.17Ad-18 Section 240.17Ad-18 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  11. 17 CFR 240.36a1-1 - Exemption from Section 7 for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from Section 7 for OTC derivatives dealers. 240.36a1-1 Section 240.36a1-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  12. 17 CFR 240.15b9-2 - Exemption from SRO membership for OTC derivatives dealers.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemption from SRO membership for OTC derivatives dealers. 240.15b9-2 Section 240.15b9-2 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  13. 49 CFR 1570.5 - Fraud and intentional falsification of records.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 49 Transportation 9 2010-10-01 2010-10-01 false Fraud and intentional falsification of records...) TRANSPORTATION SECURITY ADMINISTRATION, DEPARTMENT OF HOMELAND SECURITY MARITIME AND LAND TRANSPORTATION SECURITY GENERAL RULES § 1570.5 Fraud and intentional falsification of records. No person may make, cause to be...

  14. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  15. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  16. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  17. 17 CFR 287.4 - Preparation and filing of reports.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Preparation and filing of reports. 287.4 Section 287.4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN...

  18. 17 CFR 230.251 - Scope of exemption.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Scope of exemption. 230.251 Section 230.251 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND... received in a foreign currency shall be translated into United States currency at a currency exchange rate...

  19. 17 CFR 250.49 - Certain exemptions granted to non-utility subsidiaries.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Certain exemptions granted to non-utility subsidiaries. 250.49 Section 250.49 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935...

  20. 49 CFR 806.2 - Applicability.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... SECURITY INFORMATION POLICY AND GUIDELINES, IMPLEMENTING REGULATIONS § 806.2 Applicability. This rule supplements Executive Order 12065 within the Board with regard to national security information. It establishes general policies and certain procedures for the classification and declassification of information...

  1. 31 CFR 375.2 - What special definitions apply to this rule?

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 31 Money and Finance:Treasury 2 2013-07-01 2013-07-01 false What special definitions apply to this rule? 375.2 Section 375.2 Money and Finance: Treasury Regulations Relating to Money and Finance... SECURITIES REDEMPTION OPERATIONS General Information § 375.2 What special definitions apply to this rule? The...

  2. 31 CFR 375.2 - What special definitions apply to this rule?

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 31 Money and Finance:Treasury 2 2011-07-01 2011-07-01 false What special definitions apply to this rule? 375.2 Section 375.2 Money and Finance: Treasury Regulations Relating to Money and Finance... SECURITIES REDEMPTION OPERATIONS General Information § 375.2 What special definitions apply to this rule? The...

  3. 31 CFR 375.2 - What special definitions apply to this rule?

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 31 Money and Finance:Treasury 2 2012-07-01 2012-07-01 false What special definitions apply to this rule? 375.2 Section 375.2 Money and Finance: Treasury Regulations Relating to Money and Finance... SECURITIES REDEMPTION OPERATIONS General Information § 375.2 What special definitions apply to this rule? The...

  4. 31 CFR 375.2 - What special definitions apply to this rule?

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 31 Money and Finance: Treasury 2 2014-07-01 2014-07-01 false What special definitions apply to this rule? 375.2 Section 375.2 Money and Finance: Treasury Regulations Relating to Money and Finance... SECURITIES REDEMPTION OPERATIONS General Information § 375.2 What special definitions apply to this rule? The...

  5. 17 CFR 240.15g-100 - Schedule 15G-Information to be included in the document distributed pursuant to 17 CFR 240.15g-2.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... page] Important Information on Penny Stocks The U.S. Securities and Exchange Commission (SEC) requires... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND...

  6. 17 CFR 240.17i-4 - Internal risk management control system requirements for supervised investment bank holding...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Internal risk management control system requirements for supervised investment bank holding companies. 240.17i-4 Section 240.17i-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  7. 17 CFR 240.17i-4 - Internal risk management control system requirements for supervised investment bank holding...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Internal risk management control system requirements for supervised investment bank holding companies. 240.17i-4 Section 240.17i-4 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...

  8. 17 CFR 260.7a-36 - Signatures to amendments.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Signatures to amendments. 260.7a-36 Section 260.7a-36 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, TRUST INDENTURE ACT OF 1939 Amendments § 260.7a-36 Signatures to...

  9. 17 CFR 232.103 - Liability for transmission errors or omissions in documents filed via EDGAR.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Liability for transmission errors or omissions in documents filed via EDGAR. 232.103 Section 232.103 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC...

  10. 17 CFR 230.166 - Exemption from section 5(c) for certain communications in connection with business combination...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exemption from section 5(c) for certain communications in connection with business combination transactions. 230.166 Section 230.166 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND...

  11. 17 CFR 250.7 - Companies deemed not to be electric or gas utility companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Companies deemed not to be electric or gas utility companies. 250.7 Section 250.7 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935...

  12. 12 CFR 360.2 - Federal Home Loan banks as secured creditors.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 12 Banks and Banking 4 2010-01-01 2010-01-01 false Federal Home Loan banks as secured creditors. 360.2 Section 360.2 Banks and Banking FEDERAL DEPOSIT INSURANCE CORPORATION REGULATIONS AND STATEMENTS OF GENERAL POLICY RESOLUTION AND RECEIVERSHIP RULES § 360.2 Federal Home Loan banks as secured...

  13. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  14. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  15. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  16. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  17. 17 CFR 400.5 - Amendments to application for registration and to notice of status as a government securities...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Amendments to application for registration and to notice of status as a government securities broker or dealer. 400.5 Section 400.5 Commodity and Securities Exchanges DEPARTMENT OF THE TREASURY REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL...

  18. 76 FR 79741 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-22

    ... Change The Exchange proposes to list and trade the following under NYSE Arca Equities Rule 8.600... for, the Proposed Rule Change 1. Purpose The Exchange proposes to list and trade the following Managed... used generally in the Registration Statement, in which the Fund will focus: Debt securities issued or...

  19. 17 CFR 201.151 - Filing of papers with the Commission: Procedure.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Filing of papers with the... COMMISSION RULES OF PRACTICE Rules of Practice General Rules § 201.151 Filing of papers with the Commission: Procedure. (a) When to file. All papers required to be served by a party upon any person shall be filed...

  20. 17 CFR 230.152a - Offer or sale of certain fractional interests.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... interests for the purpose of combining such interests into whole shares, and for the sale of such number of... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Offer or sale of certain... COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.152a Offer or sale of certain...

  1. 17 CFR 230.152a - Offer or sale of certain fractional interests.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... interests for the purpose of combining such interests into whole shares, and for the sale of such number of... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Offer or sale of certain... COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.152a Offer or sale of certain...

  2. 17 CFR 230.152a - Offer or sale of certain fractional interests.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... interests for the purpose of combining such interests into whole shares, and for the sale of such number of... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Offer or sale of certain... COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.152a Offer or sale of certain...

  3. 17 CFR 230.152a - Offer or sale of certain fractional interests.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... interests for the purpose of combining such interests into whole shares, and for the sale of such number of... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Offer or sale of certain... COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.152a Offer or sale of certain...

  4. 17 CFR 230.152a - Offer or sale of certain fractional interests.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... interests for the purpose of combining such interests into whole shares, and for the sale of such number of... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Offer or sale of certain... COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 General § 230.152a Offer or sale of certain...

  5. 17 CFR 8.01 - Scope of rules.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ....01 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION EXCHANGE PROCEDURES FOR DISCIPLINARY, SUMMARY, AND MEMBERSHIP DENIAL ACTIONS General Provisions § 8.01 Scope of rules. This part sets forth the standards to be followed by an exchange in establishing procedures for investigating and...

  6. 17 CFR 400.6 - Notice of withdrawal from business as a government securities broker or dealer by a financial...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Notice of withdrawal from business as a government securities broker or dealer by a financial institution. 400.6 Section 400.6... SECURITIES EXCHANGE ACT OF 1934 RULES OF GENERAL APPLICATION § 400.6 Notice of withdrawal from business as a...

  7. 17 CFR 230.489 - Filing of form by foreign banks and insurance companies and certain of their holding companies...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Filing of form by foreign banks and insurance companies and certain of their holding companies and finance subsidiaries. 230.489 Section 230.489 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Investment...

  8. 17 CFR 230.418 - Supplemental information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Supplemental information. 230... RULES AND REGULATIONS, SECURITIES ACT OF 1933 General Requirements § 230.418 Supplemental information. (a) The Commission or its staff may, where it is deemed appropriate, request supplemental information...

  9. 20 CFR 416.1130 - Introduction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and Maintenance § 416.1130 Introduction. (a) General. Both earned income... support and maintenance). This section and the ones that follow discuss these rules. In these sections...

  10. 20 CFR 416.1130 - Introduction.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Employees' Benefits SOCIAL SECURITY ADMINISTRATION SUPPLEMENTAL SECURITY INCOME FOR THE AGED, BLIND, AND DISABLED Income In-Kind Support and Maintenance § 416.1130 Introduction. (a) General. Both earned income... support and maintenance). This section and the ones that follow discuss these rules. In these sections...

  11. 12 CFR 360.2 - Federal Home Loan banks as secured creditors.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 5 2012-01-01 2012-01-01 false Federal Home Loan banks as secured creditors... OF GENERAL POLICY RESOLUTION AND RECEIVERSHIP RULES § 360.2 Federal Home Loan banks as secured... regulations, the receiver of a borrower from a Federal Home Loan Bank shall recognize the priority of any...

  12. 12 CFR 360.2 - Federal Home Loan banks as secured creditors.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 5 2013-01-01 2013-01-01 false Federal Home Loan banks as secured creditors... OF GENERAL POLICY RESOLUTION AND RECEIVERSHIP RULES § 360.2 Federal Home Loan banks as secured... regulations, the receiver of a borrower from a Federal Home Loan Bank shall recognize the priority of any...

  13. 12 CFR 360.2 - Federal Home Loan banks as secured creditors.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 4 2011-01-01 2011-01-01 false Federal Home Loan banks as secured creditors... OF GENERAL POLICY RESOLUTION AND RECEIVERSHIP RULES § 360.2 Federal Home Loan banks as secured... regulations, the receiver of a borrower from a Federal Home Loan Bank shall recognize the priority of any...

  14. 12 CFR 360.2 - Federal Home Loan banks as secured creditors.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 12 Banks and Banking 5 2014-01-01 2014-01-01 false Federal Home Loan banks as secured creditors... OF GENERAL POLICY RESOLUTION AND RECEIVERSHIP RULES § 360.2 Federal Home Loan banks as secured... regulations, the receiver of a borrower from a Federal Home Loan Bank shall recognize the priority of any...

  15. 19 CFR 177.13 - Inconsistent customs decisions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 19 Customs Duties 2 2010-04-01 2010-04-01 false Inconsistent customs decisions. 177.13 Section 177.13 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY (CONTINUED) ADMINISTRATIVE RULINGS General Ruling Procedure § 177.13 Inconsistent customs...

  16. 19 CFR 177.13 - Inconsistent customs decisions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 19 Customs Duties 2 2012-04-01 2012-04-01 false Inconsistent customs decisions. 177.13 Section 177.13 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY (CONTINUED) ADMINISTRATIVE RULINGS General Ruling Procedure § 177.13 Inconsistent customs...

  17. 19 CFR 177.13 - Inconsistent customs decisions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 19 Customs Duties 2 2011-04-01 2011-04-01 false Inconsistent customs decisions. 177.13 Section 177.13 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY (CONTINUED) ADMINISTRATIVE RULINGS General Ruling Procedure § 177.13 Inconsistent customs...

  18. 19 CFR 191.24 - Certificate of manufacture and delivery.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Section 191.24 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... manufactured or produced under a general manufacturing drawback ruling, the unique computer-generated number... manufactured or produced under a specific manufacturing drawback ruling, either the unique computer number or...

  19. 19 CFR 191.24 - Certificate of manufacture and delivery.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Section 191.24 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... manufactured or produced under a general manufacturing drawback ruling, the unique computer-generated number... manufactured or produced under a specific manufacturing drawback ruling, either the unique computer number or...

  20. 19 CFR 191.24 - Certificate of manufacture and delivery.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Section 191.24 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... manufactured or produced under a general manufacturing drawback ruling, the unique computer-generated number... manufactured or produced under a specific manufacturing drawback ruling, either the unique computer number or...

  1. 19 CFR 191.24 - Certificate of manufacture and delivery.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Section 191.24 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... manufactured or produced under a general manufacturing drawback ruling, the unique computer-generated number... manufactured or produced under a specific manufacturing drawback ruling, either the unique computer number or...

  2. 19 CFR 191.24 - Certificate of manufacture and delivery.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Section 191.24 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... manufactured or produced under a general manufacturing drawback ruling, the unique computer-generated number... manufactured or produced under a specific manufacturing drawback ruling, either the unique computer number or...

  3. 17 CFR 230.408 - Additional information.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Additional information. 230... RULES AND REGULATIONS, SECURITIES ACT OF 1933 General Requirements § 230.408 Additional information. (a) In addition to the information expressly required to be included in a registration statement, there...

  4. 14 CFR 99.41 - General.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false General. 99.41 Section 99.41 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC Designated Air Defense Identification Zones § 99...

  5. 77 FR 44699 - Submission for OMB Review; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-07-30

    .../Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green..., recordkeeping, financial reporting, and oversight rules with respect to registered credit rating agencies. In... methodologies in light of the role they played in determining credit ratings for securities collateralized by or...

  6. 32 CFR 321.14 - DSS implementation policies.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ...) PRIVACY PROGRAM DEFENSE SECURITY SERVICE PRIVACY PROGRAM § 321.14 DSS implementation policies. (a) General... matters of particular concern to the Defense Security Service. (b) Privacy Act rules application. Any... 32 National Defense 2 2014-07-01 2014-07-01 false DSS implementation policies. 321.14 Section 321...

  7. 32 CFR 321.14 - DSS implementation policies.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ...) PRIVACY PROGRAM DEFENSE SECURITY SERVICE PRIVACY PROGRAM § 321.14 DSS implementation policies. (a) General... matters of particular concern to the Defense Security Service. (b) Privacy Act rules application. Any... 32 National Defense 2 2013-07-01 2013-07-01 false DSS implementation policies. 321.14 Section 321...

  8. 32 CFR 321.14 - DSS implementation policies.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ...) PRIVACY PROGRAM DEFENSE SECURITY SERVICE PRIVACY PROGRAM § 321.14 DSS implementation policies. (a) General... matters of particular concern to the Defense Security Service. (b) Privacy Act rules application. Any... 32 National Defense 2 2012-07-01 2012-07-01 false DSS implementation policies. 321.14 Section 321...

  9. 17 CFR 232.100 - Persons and entities subject to mandated electronic filing.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... to mandated electronic filing. 232.100 Section 232.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Electronic Filing Requirements § 232.100 Persons and entities subject to mandated electronic filing. The following...

  10. 17 CFR 232.100 - Persons and entities subject to mandated electronic filing.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... to mandated electronic filing. 232.100 Section 232.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Electronic Filing Requirements § 232.100 Persons and entities subject to mandated electronic filing. The following...

  11. 17 CFR 232.100 - Persons and entities subject to mandated electronic filing.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... to mandated electronic filing. 232.100 Section 232.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Electronic Filing Requirements § 232.100 Persons and entities subject to mandated electronic filing. The following...

  12. 17 CFR 232.100 - Persons and entities subject to mandated electronic filing.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... to mandated electronic filing. 232.100 Section 232.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Electronic Filing Requirements § 232.100 Persons and entities subject to mandated electronic filing. The following...

  13. 17 CFR 232.100 - Persons and entities subject to mandated electronic filing.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... to mandated electronic filing. 232.100 Section 232.100 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Electronic Filing Requirements § 232.100 Persons and entities subject to mandated electronic filing. The following...

  14. 18 CFR 3a.11 - Classification of official information.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... classification categories are defined as follows: (1) Top Secret. Top Secret refers to national security... 18 Conservation of Power and Water Resources 1 2011-04-01 2011-04-01 false Classification of... REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Classification § 3a...

  15. 17 CFR 171.3 - Business address; hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Business address; hours. 171.3 Section 171.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... MEMBER RESPONSIBILITY ACTIONS General Provisions § 171.3 Business address; hours. The principal office of...

  16. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  17. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  18. 17 CFR 171.3 - Business address; hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Business address; hours. 171.3 Section 171.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... MEMBER RESPONSIBILITY ACTIONS General Provisions § 171.3 Business address; hours. The principal office of...

  19. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  20. 17 CFR 12.3 - Business address; hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Business address; hours. 12.3 Section 12.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO REPARATIONS General Information and Preliminary Consideration of Pleadings § 12.3 Business address; hours. The...

  1. 17 CFR 171.3 - Business address; hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Business address; hours. 171.3 Section 171.3 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES RELATING TO... MEMBER RESPONSIBILITY ACTIONS General Provisions § 171.3 Business address; hours. The principal office of...

  2. 14 CFR 294.32 - Security arrangements for operating Public Charters.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... (AVIATION PROCEEDINGS) ECONOMIC REGULATIONS CANADIAN CHARTER AIR TAXI OPERATORS General Rules for Registrants § 294.32 Security arrangements for operating Public Charters. When a Canadian charter air taxi... taxi operator shall meet the bonding or escrow requirements applicable to foreign air carriers as set...

  3. 14 CFR 294.32 - Security arrangements for operating Public Charters.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... (AVIATION PROCEEDINGS) ECONOMIC REGULATIONS CANADIAN CHARTER AIR TAXI OPERATORS General Rules for Registrants § 294.32 Security arrangements for operating Public Charters. When a Canadian charter air taxi... taxi operator shall meet the bonding or escrow requirements applicable to foreign air carriers as set...

  4. 78 FR 79712 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-31

    ... (generally, fixed-income securities), provided that: (i) The capital gains distribution falls within one of... Commission pursuant to the Act and rules thereunder. Commission staff estimates that zero funds will file an... estimates that, each year, zero funds will file an application pursuant to rule 19b- 1(e), the total burden...

  5. 78 FR 21046 - Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-09

    ... relating to foreign currency, or, in general, any instrument commonly known as a `security'; or any..., potentially, energy and foreign exchange swaps.\\35\\ CME raised concerns that, by omitting swaps and certain... substantial potential delays'' when implementing rule changes that deal with products over which the...

  6. 76 FR 78059 - Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-12-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65927; File No. SR-OCC-2011-15] Self-Regulatory Organizations; Options Clearing Corporation; Order Approving Proposed Rule Change Relating to Management of... such as settlement banks and other clearing organizations. See generally Article VIII, Sections 1 and 5...

  7. 76 FR 31518 - Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-01

    ... their registration as a broker, dealer, municipal securities dealer, or investment adviser; Placing... the investment advisers of issuers, or the directors, officers, general partners, or managing members of such investment advisers. These persons are not currently covered under Rule 262 of Regulation A...

  8. 78 FR 62722 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-22

    ... proposed rule change is intended to apply to any OCC Cleared OTC Option.\\7\\ \\5\\ See Securities Exchange Act... standardized index option.\\38\\ FINRA Rule 2330(b)(5)(A)(i)(b) generally requires only those members that are... FINRA, as is the case for all conventional options.\\40\\ \\37\\ Id. \\38\\ Id. See also FINRA Rule 2360(b)(5...

  9. 75 FR 62905 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-13

    ... of high yield debt securities, which include senior and subordinated corporate debt obligations (such... banks, corporations and other entities to finance short- term credit needs. These securities generally..., rather than just traditional credit analysis. Through fundamental and valuation analysis, the Sub-Advisor...

  10. 17 CFR 230.417 - Date of financial statements.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Date of financial statements... RULES AND REGULATIONS, SECURITIES ACT OF 1933 General Requirements § 230.417 Date of financial statements. Whenever financial statements of any person are required to be furnished as of a date within a...

  11. 17 CFR 250.44 - Sales of securities and assets.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Regulation and Exemption of... or assets. No registered holding company shall, directly or indirectly, sell to any person any security which it owns of any public utility company, or any utility assets, except pursuant to a...

  12. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION Privacy and Opt Out Notices § 160.8 Revised privacy notices. (a) General rule. Except...

  13. 17 CFR 160.8 - Revised privacy notices.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Revised privacy notices. 160.8 Section 160.8 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION PRIVACY OF CONSUMER FINANCIAL INFORMATION Privacy and Opt Out Notices § 160.8 Revised privacy notices. (a) General rule. Except...

  14. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  15. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 1 2014-04-01 2014-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  16. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 1 2012-04-01 2012-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  17. 17 CFR 10.4 - Business address; hours.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Business address; hours. 10.4 Section 10.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.4 Business address; hours. The Office of Proceedings is located at Three Lafayette...

  18. 33 CFR 20.801 - General.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 33 Navigation and Navigable Waters 1 2012-07-01 2012-07-01 false General. 20.801 Section 20.801 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF PRACTICE.... Any party may present his or her case or defense by oral, documentary, or demonstrative evidence...

  19. 33 CFR 20.801 - General.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 33 Navigation and Navigable Waters 1 2011-07-01 2011-07-01 false General. 20.801 Section 20.801 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF PRACTICE.... Any party may present his or her case or defense by oral, documentary, or demonstrative evidence...

  20. 33 CFR 20.801 - General.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 33 Navigation and Navigable Waters 1 2010-07-01 2010-07-01 false General. 20.801 Section 20.801 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF PRACTICE.... Any party may present his or her case or defense by oral, documentary, or demonstrative evidence...

  1. 33 CFR 20.801 - General.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 33 Navigation and Navigable Waters 1 2014-07-01 2014-07-01 false General. 20.801 Section 20.801 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF PRACTICE.... Any party may present his or her case or defense by oral, documentary, or demonstrative evidence...

  2. Proposal for founding mistrustful quantum cryptography on coin tossing

    DOE Office of Scientific and Technical Information (OSTI.GOV)

    Kent, Adrian; Hewlett-Packard Laboratories, Filton Road, Stoke Gifford, Bristol BS34 8QZ,

    2003-07-01

    A significant branch of classical cryptography deals with the problems which arise when mistrustful parties need to generate, process, or exchange information. As Kilian showed a while ago, mistrustful classical cryptography can be founded on a single protocol, oblivious transfer, from which general secure multiparty computations can be built. The scope of mistrustful quantum cryptography is limited by no-go theorems, which rule out, inter alia, unconditionally secure quantum protocols for oblivious transfer or general secure two-party computations. These theorems apply even to protocols which take relativistic signaling constraints into account. The best that can be hoped for, in general, aremore » quantum protocols which are computationally secure against quantum attack. Here a method is described for building a classically certified bit commitment, and hence every other mistrustful cryptographic task, from a secure coin-tossing protocol. No security proof is attempted, but reasons are sketched why these protocols might resist quantum computational attack.« less

  3. 77 FR 46532 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-03

    ... national market system and, in general, to protect investors and the public interest. The proposed rule...) thereunder.\\10\\ Because the proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become...

  4. 17 CFR 240.10b-16 - Disclosure of credit terms in margin transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and... determining the debit balance or balances on which interest is to be charged and whether credit is to be given for credit balances in cash accounts; (vi) what other charges resulting from the extension of credit...

  5. 76 FR 59454 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-26

    ... Office of Management and Budget for extension and approval. Rule 17a-5(c) generally requires broker... information subject to the PRA that does not display a valid Office of Management and Budget (OMB) control... customers' cash and securities. The Commission, when adopting the Rule in 1972, stated that the goal was to...

  6. 17 CFR 201.152 - Filing of papers: Form.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Filing of papers: Form. 201... PRACTICE Rules of Practice General Rules § 201.152 Filing of papers: Form. (a) Specifications. Papers filed... white paper measuring 81/2×11 inches, except that, to the extent that the reduction of larger documents...

  7. 17 CFR 201.150 - Service of papers by parties.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Service of papers by parties... PRACTICE Rules of Practice General Rules § 201.150 Service of papers by parties. (a) When required. In every proceeding as defined in § 201.101(a), each paper, including each notice of appearance, written...

  8. 17 CFR 201.150 - Service of papers by parties.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Service of papers by parties... PRACTICE Rules of Practice General Rules § 201.150 Service of papers by parties. (a) When required. In every proceeding as defined in § 201.101(a), each paper, including each notice of appearance, written...

  9. 17 CFR 201.152 - Filing of papers: Form.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Filing of papers: Form. 201... PRACTICE Rules of Practice General Rules § 201.152 Filing of papers: Form. (a) Specifications. Papers filed... white paper measuring 81/2×11 inches, except that, to the extent that the reduction of larger documents...

  10. 14 CFR 99.12 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false [Reserved] 99.12 Section 99.12 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC General § 99.12 [Reserved] ...

  11. 13 CFR 107.1530 - How a Licensee computes SBA's Profit Participation.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... steps in paragraphs (e) through (g) of this section. (e) Compute the “PLC ratio”—(1) General rule. The “PLC ratio” is the highest ratio of outstanding Participating Securities to Leverageable Capital that... reduced PLC ratio as follows: (i) Divide the highest dollar amount of Participating Securities you have...

  12. 13 CFR 107.1530 - How a Licensee computes SBA's Profit Participation.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... steps in paragraphs (e) through (g) of this section. (e) Compute the “PLC ratio”—(1) General rule. The “PLC ratio” is the highest ratio of outstanding Participating Securities to Leverageable Capital that... reduced PLC ratio as follows: (i) Divide the highest dollar amount of Participating Securities you have...

  13. 17 CFR 230.430A - Prospectus in a registration statement at the time of effectiveness.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... SECURITIES AND EXCHANGE COMMISSION GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Form and Content of Prospectuses § 230.430A Prospectus in a registration statement at the time of effectiveness. (a) The form of... respect to the public offering price, underwriting syndicate (including any material relationships between...

  14. 78 FR 6161 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-29

    ... national market system, and, in general, to protect investors and the public interest. The Commission notes..., and transactions in, securities. Quotation and last- sale information for the Shares will be available... exchanges trading such securities, automated quotation systems, published or other public sources, or on...

  15. 17 CFR 10.7 - Date of entry of orders.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Date of entry of orders. 10.7 Section 10.7 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION RULES OF PRACTICE General Provisions § 10.7 Date of entry of orders. In computing any period of time involving the date of...

  16. 75 FR 50846 - Privacy Act of 1974: Implementation of Exemptions; Department of Homeland Security/ALL-001...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-18

    ... INFORMATION CONTACT: For general questions and privacy issues please contact: Mary Ellen Callahan (703-235...] Privacy Act of 1974: Implementation of Exemptions; Department of Homeland Security/ALL--001 Freedom of Information Act and Privacy Act Records System of Records AGENCY: Privacy Office, DHS. ACTION: Final rule...

  17. 78 FR 78451 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Designation of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-26

    ... information on municipal fund securities) and MSRB Form G-45; amendments to MSRB Rule G-8 (books and records..., Investment Company Institute, dated July 16, 2013; David L. Cohen, Managing Director, Associate General.... Salmon, Senior Associate Counsel, Investment Company Institute, dated November 8, 2013; Roger Michaud...

  18. 76 FR 68243 - Social Security Rulings, SSR 91-1c and SSR 66-18c; Rescission of Social Security Rulings (SSR) 66...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-03

    ..., Social Security Online, at http://www.socialsecurity.gov . SUPPLEMENTARY INFORMATION: SSRs make available... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2011-0068] Social Security Rulings, SSR 91-1c and SSR 66-18c; Rescission of Social Security Rulings (SSR) 66-18c and SSR 91-1c AGENCY: Social Security...

  19. 5 CFR 8301.106 - Additional rules for employees of the Office of Inspector General.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... enforcement, investigation, security, firearms training, defensive tactics training, and protective services... (d) Employment involving personnel, procurement, budget, computer, or equal employment opportunity...

  20. 5 CFR 8301.106 - Additional rules for employees of the Office of Inspector General.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... enforcement, investigation, security, firearms training, defensive tactics training, and protective services... (d) Employment involving personnel, procurement, budget, computer, or equal employment opportunity...

  1. 5 CFR 8301.106 - Additional rules for employees of the Office of Inspector General.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... enforcement, investigation, security, firearms training, defensive tactics training, and protective services... (d) Employment involving personnel, procurement, budget, computer, or equal employment opportunity...

  2. 5 CFR 8301.106 - Additional rules for employees of the Office of Inspector General.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... enforcement, investigation, security, firearms training, defensive tactics training, and protective services... (d) Employment involving personnel, procurement, budget, computer, or equal employment opportunity...

  3. 5 CFR 8301.106 - Additional rules for employees of the Office of Inspector General.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... enforcement, investigation, security, firearms training, defensive tactics training, and protective services... (d) Employment involving personnel, procurement, budget, computer, or equal employment opportunity...

  4. 78 FR 54691 - American General Life Insurance Company, et al.

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-05

    ... Life Insurance Company, et al. August 29, 2013, AGENCY: The Securities and Exchange Commission... 27(i)(2)(A) of the Act and Rule 22c-1 thereunder. Applicants: American General Life Insurance Company (``American General''), The United States Life Insurance Company in the City of New York (``US Life'') (each...

  5. 77 FR 51073 - Sunshine Act Meeting

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-23

    ... solicitation and general advertising in securities offerings conducted pursuant to Rule 506 of Regulation D... require alterations in the scheduling of meeting items. For further information and to ascertain what, if...

  6. 14 CFR 99.9 - Radio requirements.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false Radio requirements. 99.9 Section 99.9 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC General § 99.9 Radio requirements. (a) A...

  7. 14 CFR 99.5 - Emergency situations.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false Emergency situations. 99.5 Section 99.5 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC General § 99.5 Emergency situations. In an...

  8. 14 CFR 99.15 - Position reports.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false Position reports. 99.15 Section 99.15 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC General § 99.15 Position reports. (a) The...

  9. 26 CFR 1.475-0 - Table of contents.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of corrections. § 1.475(c)-1Definitions—dealer in securities. (a) Dealer-customer relationship. (1... value. (3) Management of a business as a dealer. (4) Significant use. (k) Retention and production of... deemed identified as held for investment. (1) In general. (2) Relationships. (i) General rule. (ii...

  10. 46 CFR 340.3 - General provisions.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... procedures shall be applicable: (1) In connection with deployment of the Armed Forces of the United States... SECURITY AND NATIONAL DEFENSE RELATED OPERATIONS § 340.3 General provisions. (a) The provisions of this rule apply pursuant to authority granted to the President by title I, Defense Production Act of 1950...

  11. 46 CFR 340.3 - General provisions.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... procedures shall be applicable: (1) In connection with deployment of the Armed Forces of the United States... SECURITY AND NATIONAL DEFENSE RELATED OPERATIONS § 340.3 General provisions. (a) The provisions of this rule apply pursuant to authority granted to the President by title I, Defense Production Act of 1950...

  12. 14 CFR 99.19-99.31 - [Reserved

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false [Reserved] 99.19-99.31 Section 99.19-99.31 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC General §§ 99.19-99.31 [Reserved] ...

  13. 18 CFR 3a.1 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 18 Conservation of Power and Water Resources 1 2010-04-01 2010-04-01 false Purpose. 3a.1 Section 3a.1 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.1 Purpose. This part 3a describes the...

  14. 18 CFR 3a.1 - Purpose.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 18 Conservation of Power and Water Resources 1 2013-04-01 2013-04-01 false Purpose. 3a.1 Section 3a.1 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.1 Purpose. This part 3a describes the...

  15. 18 CFR 3a.1 - Purpose.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 18 Conservation of Power and Water Resources 1 2012-04-01 2012-04-01 false Purpose. 3a.1 Section 3a.1 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.1 Purpose. This part 3a describes the...

  16. 18 CFR 3a.2 - Authority.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 18 Conservation of Power and Water Resources 1 2010-04-01 2010-04-01 false Authority. 3a.2 Section 3a.2 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.2 Authority. Official information or...

  17. 18 CFR 3a.2 - Authority.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 18 Conservation of Power and Water Resources 1 2014-04-01 2014-04-01 false Authority. 3a.2 Section 3a.2 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.2 Authority. Official information or...

  18. 18 CFR 3a.2 - Authority.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 18 Conservation of Power and Water Resources 1 2012-04-01 2012-04-01 false Authority. 3a.2 Section 3a.2 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.2 Authority. Official information or...

  19. 18 CFR 3a.1 - Purpose.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 18 Conservation of Power and Water Resources 1 2014-04-01 2014-04-01 false Purpose. 3a.1 Section 3a.1 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.1 Purpose. This part 3a describes the...

  20. 18 CFR 3a.2 - Authority.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 18 Conservation of Power and Water Resources 1 2013-04-01 2013-04-01 false Authority. 3a.2 Section 3a.2 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION General § 3a.2 Authority. Official information or...

  1. 76 FR 65558 - Rescission of Social Security Ruling 97-2p

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-21

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA 2007-0092] Rescission of Social Security Ruling 97-2p AGENCY: Social Security Administration. ACTION: Notice of rescission of Social Security Ruling. SUMMARY: In accordance with 20 CFR 402.35(b)(1), the Commissioner of Social Security gives notice of the...

  2. 78 FR 22361 - Social Security Ruling, SSR 13-1p; Titles II and XVI: Agency Processes for Addressing Allegations...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-15

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0071] Social Security Ruling, SSR 13-1p..., Misconduct, or Discrimination by Administrative Law Judges (ALJs); Correction AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling; Correction. SUMMARY: The Social Security Administration...

  3. 78 FR 8217 - Social Security Ruling, SSR 13-1p; Titles II and XVI: Agency Processes for Addressing Allegations...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-05

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0071] Social Security Ruling, SSR 13-1p..., Misconduct, or Discrimination by Administrative Law Judges (ALJs); Correction AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling; Correction. SUMMARY: The Social Security Administration...

  4. 32 CFR 2004.20 - National Industrial Security Program Operating Manual (NISPOM) [201(a)].

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... phases of the contracting process. (b) As a general rule, procedures for safeguarding classified information by contractors and recommendations for changes shall be addressed through the NISPOM coordination...

  5. 78 FR 55126 - Order Exempting Broker-Dealers Participating in NYSE Arca, Inc.'s Lead Market Maker Incentive...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-09

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70303] Order Exempting Broker-Dealers... Exchange Act of 1934 and Rule 11d1-2 Thereunder September 3, 2013. On June 6, 2013, the Securities and... LMMs and ``LMM Payments'' that would be funded from the Exchange's general revenues if the LMM meets or...

  6. 26 CFR 1.1082-6 - Basis of property acquired under section 1081(d) in transactions between corporations of the same...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... were the sole consideration for the property transferred to the corporation issuing such stock or... acquired consists of stock or securities, money, and other property, or any of them, but it is contemplated... to the general rule is provided for in case the property acquired consists of stock or securities...

  7. 29 CFR 2580.412-19 - Term of the bond, discovery period, other bond clauses.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... SECURITY ACT OF 1974 TEMPORARY BONDING RULES General Bond Rules § 2580.412-19 Term of the bond, discovery... 29 Labor 9 2010-07-01 2010-07-01 false Term of the bond, discovery period, other bond clauses... new bond must be obtained each year. There is nothing in the Act that prohibits a bond for a term...

  8. 76 FR 41838 - Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-15

    ... SECURITIES AND EXCHANGE COMMISSION [Release No. 3236/July 12, 2011] Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 1940 I. Background Section 205(a)(1) of the Investment Advisers Act of 1940 (``Advisers Act'') generally prohibits an investment adviser from entering into,...

  9. 17 CFR 41.24 - Rule amendments to security futures products.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... rule amendment relating to a security futures product if the registered derivatives transaction... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Rule amendments to security futures products. 41.24 Section 41.24 Commodity and Securities Exchanges COMMODITY FUTURES TRADING...

  10. 78 FR 17744 - Social Security Ruling, SSR 13-2p; Titles II and XVI: Evaluating Cases Involving Drug Addiction...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-22

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0006] Social Security Ruling, SSR 13-2p...: Social Security Administration. ACTION: Notice of Social Security Ruling; Correction. SUMMARY: The Social..., Social Security Administration. [FR Doc. 2013-06594 Filed 3-21-13; 8:45 am] BILLING CODE 4191-02-P ...

  11. 75 FR 54930 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-09

    ... Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business... prohibitions on municipal securities business (referred to hereafter as ``proposed rule change''). The MSRB has... securities business.\\3\\ Under Rule G-37, certain contributions to elected officials of municipal securities...

  12. 17 CFR 232.10 - Application of part 232.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... uniform application form for access codes to file on EDGAR, and (2) File, by uploading as a Portable... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application of part 232. 232...-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS General § 232.10 Application of part 232. (a...

  13. 14 CFR 99.1 - Applicability.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false Applicability. 99.1 Section 99.1... AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC General § 99.1 Applicability. (a) This... Identification Zone (ADIZ) designated in subpart B. (b) Except for §§ 99.7, 99.13, and 99.15 this subpart does...

  14. 17 CFR 232.14 - Paper filings not accepted without exemption.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Paper filings not accepted... COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS General § 232.14 Paper filings not accepted without exemption. The Commission will not accept in paper format any filing required to...

  15. 46 CFR 154.3 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) CERTAIN BULK DANGEROUS CARGOES SAFETY STANDARDS FOR SELF-PROPELLED VESSELS CARRYING BULK LIQUEFIED GASES General § 154.3 Purpose. The purpose of this part is to prescribe rules for new and existing gas vessels. ...

  16. 46 CFR 154.3 - Purpose.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) CERTAIN BULK DANGEROUS CARGOES SAFETY STANDARDS FOR SELF-PROPELLED VESSELS CARRYING BULK LIQUEFIED GASES General § 154.3 Purpose. The purpose of this part is to prescribe rules for new and existing gas vessels. ...

  17. 46 CFR 154.3 - Purpose.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) CERTAIN BULK DANGEROUS CARGOES SAFETY STANDARDS FOR SELF-PROPELLED VESSELS CARRYING BULK LIQUEFIED GASES General § 154.3 Purpose. The purpose of this part is to prescribe rules for new and existing gas vessels. ...

  18. 46 CFR 154.3 - Purpose.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) CERTAIN BULK DANGEROUS CARGOES SAFETY STANDARDS FOR SELF-PROPELLED VESSELS CARRYING BULK LIQUEFIED GASES General § 154.3 Purpose. The purpose of this part is to prescribe rules for new and existing gas vessels. ...

  19. 46 CFR 154.3 - Purpose.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ..., DEPARTMENT OF HOMELAND SECURITY (CONTINUED) CERTAIN BULK DANGEROUS CARGOES SAFETY STANDARDS FOR SELF-PROPELLED VESSELS CARRYING BULK LIQUEFIED GASES General § 154.3 Purpose. The purpose of this part is to prescribe rules for new and existing gas vessels. ...

  20. Patient Protection and Affordable Care Act; program integrity: Exchange, SHOP, and eligibility appeals. Final rule.

    PubMed

    2013-08-30

    This final rule implements provisions of the Patient Protection and Affordable Care Act and the Health Care and Education Reconciliation Act of 2010 (collectively referred to as the Affordable Care Act). Specifically, this final rule outlines Exchange standards with respect to eligibility appeals, agents and brokers, privacy and security, issuer direct enrollment, and the handling of consumer cases. It also sets forth standards with respect to a State's operation of the Exchange and Small Business Health Options Program (SHOP). It generally is finalizing previously proposed policies without change.

  1. 76 FR 45309 - Social Security Ruling 11-1p; Titles II and XVI: Procedures for Handling Requests To File...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-07-28

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2011-0057] Social Security Ruling 11-1p; Titles II... AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling (SSR) SUMMARY: We are... administrative review process. This change will allow us to more efficiently use our limited resources to handle...

  2. 78 FR 12130 - Social Security Ruling, SSR 13-3p; Appeal of an Initial Medical Disability Cessation...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-21

    ... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2011-0106] Social Security Ruling, SSR 13-3p; Appeal of an Initial Medical Disability Cessation Determination or Decision AGENCY: Social Security Administration. ACTION: Notice of Social Security Ruling (SSR). SUMMARY: We are giving notice of SSR 13-3p. This...

  3. Effortful control mediates relations between children's attachment security and their regard for rules of conduct

    PubMed Central

    Nordling, Jamie Koenig; Boldt, Lea J.; O'Bleness, Jessica; Kochanska, Grazyna

    2015-01-01

    Although attachment security has been associated with children's rule-compatible conduct, the mechanism through which attachment influences early regard for rules is not well established. We hypothesized that effortful control would mediate the link between security and indicators of children's emerging regard for rules (discomfort following rule violations, internalization of parents' and experimenter's rules, few externalizing behaviors). In a longitudinal study, the Attachment Q-Set was completed by parents, effortful control was observed, and Regard for Rules was observed and rated by parents. The proposed model fit the data well: Children's security to mothers predicted their effortful control, which in turn had a direct link to a greater Regard for Rules. Children's security with fathers did not predict effortful control. The mother-child relationship appears particularly important for positive developmental cascades of self-regulation and socialization. PMID:27158193

  4. 78 FR 10656 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-14

    ... dealers and the public and is generally consistent with the type of information currently required to be... leads to corruption. GFS stated that it would be helpful to place in the public record information... proposed rule change provide the appropriate types of information that should be disclosed to the general...

  5. 78 FR 34264 - Technical Corrections to the HIPAA Privacy, Security, and Enforcement Rules

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-07

    ...-AA03 Technical Corrections to the HIPAA Privacy, Security, and Enforcement Rules AGENCY: Office for... corrections address certain inadvertent errors and omissions in the HIPAA Privacy, Security, and Enforcement... (HHS or ``the Department'') published a final rule to implement changes to the HIPAA Privacy, Security...

  6. Social Security Ruling, SSR 99-2p.; titles II and XVI; evaluating cases involving chronic fatigue syndrome (CFS). Social Security Administration. Notice of Social Security ruling.

    PubMed

    1999-04-30

    In accordance with 20 CFR 402.35(b)(1), the Commissioner of Social Security gives notice of Social Security Ruling, SSR 99-2p. This Ruling clarifies disability policy for the evaluation and adjudication of disability claims involving Chronic Fatigue Syndrome (CFS). This Ruling explains that, when it is accompanied by appropriate medical signs or laboratory findings, CFS is a medically determinable impairment that can be the basis for a finding of "disability." This Ruling ensures that all adjudicators will use the same policies and procedures in evaluating disability claims involving CFS, and provides a consolidated statement of these policies and procedures.

  7. 17 CFR 275.0-3 - References to rules and regulations.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false References to rules and regulations. 275.0-3 Section 275.0-3 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940 § 275.0-3 References to rules and...

  8. 33 CFR 20.701 - Standard of proof.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 33 Navigation and Navigable Waters 1 2012-07-01 2012-07-01 false Standard of proof. 20.701 Section 20.701 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF... affirmative defense by a preponderance of the evidence. ...

  9. 33 CFR 20.701 - Standard of proof.

    Code of Federal Regulations, 2014 CFR

    2014-07-01

    ... 33 Navigation and Navigable Waters 1 2014-07-01 2014-07-01 false Standard of proof. 20.701 Section 20.701 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF... affirmative defense by a preponderance of the evidence. ...

  10. 33 CFR 20.701 - Standard of proof.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 33 Navigation and Navigable Waters 1 2011-07-01 2011-07-01 false Standard of proof. 20.701 Section 20.701 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF... affirmative defense by a preponderance of the evidence. ...

  11. 33 CFR 20.701 - Standard of proof.

    Code of Federal Regulations, 2013 CFR

    2013-07-01

    ... 33 Navigation and Navigable Waters 1 2013-07-01 2013-07-01 false Standard of proof. 20.701 Section 20.701 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF... affirmative defense by a preponderance of the evidence. ...

  12. 33 CFR 20.701 - Standard of proof.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 33 Navigation and Navigable Waters 1 2010-07-01 2010-07-01 false Standard of proof. 20.701 Section 20.701 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF... affirmative defense by a preponderance of the evidence. ...

  13. 17 CFR 287.1 - Applicability of this part.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT... filed with the Securities and Exchange Commission by the Asian Development Bank pursuant to section 11(a) of the Asian Development Bank Act. ...

  14. 17 CFR 287.1 - Applicability of this part.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT... filed with the Securities and Exchange Commission by the Asian Development Bank pursuant to section 11(a) of the Asian Development Bank Act. ...

  15. 17 CFR 287.1 - Applicability of this part.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT... filed with the Securities and Exchange Commission by the Asian Development Bank pursuant to section 11(a) of the Asian Development Bank Act. ...

  16. 17 CFR 287.1 - Applicability of this part.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT... filed with the Securities and Exchange Commission by the Asian Development Bank pursuant to section 11(a) of the Asian Development Bank Act. ...

  17. 17 CFR 287.1 - Applicability of this part.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ...) Schedule A to Part 285 GENERAL RULES AND REGULATIONS PURSUANT TO SECTION 11(a) OF THE ASIAN DEVELOPMENT... filed with the Securities and Exchange Commission by the Asian Development Bank pursuant to section 11(a) of the Asian Development Bank Act. ...

  18. 17 CFR 240.17a-1 - Recordkeeping rule for national securities exchanges, national securities associations...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... national securities exchanges, national securities associations, registered clearing agencies and the... Certain Stabilizing Activities § 240.17a-1 Recordkeeping rule for national securities exchanges, national...) Every national securities exchange, national securities association, registered clearing agency and the...

  19. 76 FR 11327 - Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-02

    ... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-63949] Technical Amendments to...: Securities and Exchange Commission. ACTION: Final rule; technical amendments. SUMMARY: The Securities and Exchange Commission (``Commission'') is adopting technical amendments to Rule 17a-8 under the Securities...

  20. Efficient Web Services Policy Combination

    NASA Technical Reports Server (NTRS)

    Vatan, Farrokh; Harman, Joseph G.

    2010-01-01

    Large-scale Web security systems usually involve cooperation between domains with non-identical policies. The network management and Web communication software used by the different organizations presents a stumbling block. Many of the tools used by the various divisions do not have the ability to communicate network management data with each other. At best, this means that manual human intervention into the communication protocols used at various network routers and endpoints is required. Developing practical, sound, and automated ways to compose policies to bridge these differences is a long-standing problem. One of the key subtleties is the need to deal with inconsistencies and defaults where one organization proposes a rule on a particular feature, and another has a different rule or expresses no rule. A general approach is to assign priorities to rules and observe the rules with the highest priorities when there are conflicts. The present methods have inherent inefficiency, which heavily restrict their practical applications. A new, efficient algorithm combines policies utilized for Web services. The method is based on an algorithm that allows an automatic and scalable composition of security policies between multiple organizations. It is based on defeasible policy composition, a promising approach for finding conflicts and resolving priorities between rules. In the general case, policy negotiation is an intractable problem. A promising method, suggested in the literature, is when policies are represented in defeasible logic, and composition is based on rules for non-monotonic inference. In this system, policy writers construct metapolicies describing both the policy that they wish to enforce and annotations describing their composition preferences. These annotations can indicate whether certain policy assertions are required by the policy writer or, if not, under what circumstances the policy writer is willing to compromise and allow other assertions to take precedence. Meta-policies are specified in defeasible logic, a computationally efficient non-monotonic logic developed to model human reasoning. One drawback of this method is that at one point the algorithm starts an exhaustive search of all subsets of the set of conclusions of a defeasible theory. Although the propositional defeasible logic has linear complexity, the set of conclusions here may be large, especially in real-life practical cases. This phenomenon leads to an inefficient exponential explosion of complexity. The current process of getting a Web security policy from combination of two meta-policies consists of two steps. The first is generating a new meta-policy that is a composition of the input meta-policies, and the second is mapping the meta-policy onto a security policy. The new algorithm avoids the exhaustive search in the current algorithm, and provides a security policy that matches all requirements of the involved metapolicies.

  1. 20 CFR 404.1001 - Introduction.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income § 404.1001 Introduction. (a)(1) In general.... (2) If you are an employee, your covered work is called employment. This subpart explains our rules...

  2. 20 CFR 404.1001 - Introduction.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income § 404.1001 Introduction. (a)(1) In general.... (2) If you are an employee, your covered work is called employment. This subpart explains our rules...

  3. 20 CFR 404.1001 - Introduction.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income § 404.1001 Introduction. (a)(1) In general.... (2) If you are an employee, your covered work is called employment. This subpart explains our rules...

  4. 20 CFR 404.1001 - Introduction.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Employees' Benefits SOCIAL SECURITY ADMINISTRATION FEDERAL OLD-AGE, SURVIVORS AND DISABILITY INSURANCE (1950- ) Employment, Wages, Self-Employment, and Self-Employment Income § 404.1001 Introduction. (a)(1) In general.... (2) If you are an employee, your covered work is called employment. This subpart explains our rules...

  5. 18 CFR 3a.31 - Classification markings and special notations.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... unit taking the action. When classification changes are made, the classification markings themselves... 18 Conservation of Power and Water Resources 1 2011-04-01 2011-04-01 false Classification markings... REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Classification...

  6. 17 CFR 300.502 - Claim for securities.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Claim for securities. 300.502 Section 300.502 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to Satisfaction...

  7. A New Trend-Following Indicator: Using SSA to Design Trading Rules

    NASA Astrophysics Data System (ADS)

    Leles, Michel Carlo Rodrigues; Mozelli, Leonardo Amaral; Guimarães, Homero Nogueira

    Singular Spectrum Analysis (SSA) is a non-parametric approach that can be used to decompose a time-series as trends, oscillations and noise. Trend-following strategies rely on the principle that financial markets move in trends for an extended period of time. Moving Averages (MAs) are the standard indicator to design such strategies. In this study, SSA is used as an alternative method to enhance trend resolution in comparison with the traditional MA. New trading rules using SSA as indicator are proposed. This paper shows that for the Down Jones Industrial Average (DJIA) and Shangai Securities Composite Index (SSCI) time-series the SSA trading rules provided, in general, better results in comparison to MA trading rules.

  8. 78 FR 66318 - Securities Investor Protection Corporation

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-05

    ...] Securities Investor Protection Corporation AGENCY: Securities and Exchange Commission. ACTION: Proposed rule. SUMMARY: The Securities Investor Protection Corporation (``SIPC'') filed a proposed rule change with the... satisfaction of customer claims for standardized options under the Securities Investor Protection Act of 1970...

  9. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  10. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  11. 17 CFR 200.80c - Appendix C-Rules and miscellaneous publications available from the Government Printing Office.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... securities, block distributions, securities registrations and offerings, net change in corporate securities... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Appendix C-Rules and... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND...

  12. 17 CFR 232.101 - Mandated electronic submissions and exceptions.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Mandated electronic... COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Electronic Filing Requirements § 232.101 Mandated electronic submissions and exceptions. (a) Mandated electronic submissions. (1) The...

  13. 17 CFR 232.101 - Mandated electronic submissions and exceptions.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Mandated electronic... COMMISSION REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Electronic Filing Requirements § 232.101 Mandated electronic submissions and exceptions. (a) Mandated electronic submissions. (1) The...

  14. 14 CFR 99.47 - Guam ADIZ.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 14 Aeronautics and Space 2 2010-01-01 2010-01-01 false Guam ADIZ. 99.47 Section 99.47 Aeronautics and Space FEDERAL AVIATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION (CONTINUED) AIR TRAFFIC AND GENERAL OPERATING RULES SECURITY CONTROL OF AIR TRAFFIC Designated Air Defense Identification Zones § 99...

  15. 19 CFR 10.604 - Transit and transshipment.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY ARTICLES CONDITIONALLY FREE, SUBJECT TO A REDUCED RATE, ETC. Dominican Republic-Central America-United States Free Trade Agreement Rules of Origin § 10.604 Transit and transshipment. (a) General. A...

  16. 77 FR 67724 - Rescission of Social Security Acquiescence Ruling 05-1(9)

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-13

    ...-1213 or TTY 1-800-325-0778, or visit our Internet site, Social Security Online, at http://www... SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2012-0058] Rescission of Social Security Acquiescence Ruling 05-1(9) AGENCY: Social Security Administration. [[Page 67725

  17. 17 CFR 300.503 - Voidable securities transactions.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... (CONTINUED) Schedule A to Part 285 RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Rules Relating to... right of the Securities Investor Protection Corporation, in a direct payment procedure under section 10... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Voidable securities...

  18. 78 FR 69168 - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-18

    ... approve a proposed rule change of a self-regulatory organization if it finds that such proposed rule... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70848; File No. SR-NSCC-2013-10] Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To...

  19. 78 FR 11921 - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-20

    ... Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described... Commission is publishing this notice to solicit comments on the proposed rule change from interested persons...

  20. 78 FR 72951 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-04

    ... To Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection--Permissible Use of Customers' Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook, as... loans and borrowings, permissible use of customers' securities, and callable securities as FINRA Rules...

  1. 46 CFR 147A.3 - Applicability.

    Code of Federal Regulations, 2014 CFR

    2014-10-01

    ... 46 Shipping 5 2014-10-01 2014-10-01 false Applicability. 147A.3 Section 147A.3 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) DANGEROUS CARGOES INTERIM REGULATIONS FOR SHIPBOARD FUMIGATION General § 147A.3 Applicability. This part prescribes the rules for shipboard fumigation on vessels...

  2. 46 CFR 147A.3 - Applicability.

    Code of Federal Regulations, 2012 CFR

    2012-10-01

    ... 46 Shipping 5 2012-10-01 2012-10-01 false Applicability. 147A.3 Section 147A.3 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) DANGEROUS CARGOES INTERIM REGULATIONS FOR SHIPBOARD FUMIGATION General § 147A.3 Applicability. This part prescribes the rules for shipboard fumigation on vessels...

  3. 46 CFR 147A.3 - Applicability.

    Code of Federal Regulations, 2010 CFR

    2010-10-01

    ... 46 Shipping 5 2010-10-01 2010-10-01 false Applicability. 147A.3 Section 147A.3 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) DANGEROUS CARGOES INTERIM REGULATIONS FOR SHIPBOARD FUMIGATION General § 147A.3 Applicability. This part prescribes the rules for shipboard fumigation on vessels...

  4. 46 CFR 147A.3 - Applicability.

    Code of Federal Regulations, 2013 CFR

    2013-10-01

    ... 46 Shipping 5 2013-10-01 2013-10-01 false Applicability. 147A.3 Section 147A.3 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) DANGEROUS CARGOES INTERIM REGULATIONS FOR SHIPBOARD FUMIGATION General § 147A.3 Applicability. This part prescribes the rules for shipboard fumigation on vessels...

  5. 46 CFR 147A.3 - Applicability.

    Code of Federal Regulations, 2011 CFR

    2011-10-01

    ... 46 Shipping 5 2011-10-01 2011-10-01 false Applicability. 147A.3 Section 147A.3 Shipping COAST GUARD, DEPARTMENT OF HOMELAND SECURITY (CONTINUED) DANGEROUS CARGOES INTERIM REGULATIONS FOR SHIPBOARD FUMIGATION General § 147A.3 Applicability. This part prescribes the rules for shipboard fumigation on vessels...

  6. 10 CFR 824.2 - Applicability.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 10 Energy 4 2011-01-01 2011-01-01 false Applicability. 824.2 Section 824.2 Energy DEPARTMENT OF ENERGY PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS § 824.2 Applicability. (a) General. These regulations apply to any person that has entered into a...

  7. 13 CFR 107.1500 - General description of Participating Securities.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... in Equity Capital Investments, as defined in § 107.50. (c) Special features of Participating... SMALL BUSINESS INVESTMENT COMPANIES SBA Financial Assistance for Licensees (Leverage) Participating... rules on: (1) Minimum capital (see § 107.210). (2) Liquidity (see § 107.1505). (3) Non-SBA borrowing...

  8. 76 FR 13001 - Proposed Collection; Comment Request

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-09

    ... M and Rule 17a-2 are necessary for covered persons to obtain certain benefits or to comply with... forms of information technology. Consideration will be given to comments and suggestions submitted in..., Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green...

  9. 33 CFR 20.501 - Conferences.

    Code of Federal Regulations, 2012 CFR

    2012-07-01

    ... 33 Navigation and Navigable Waters 1 2012-07-01 2012-07-01 false Conferences. 20.501 Section 20.501 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF... stenographic report if authorized by the ALJ; (2) A written transcript from a magnetic tape or the equivalent...

  10. 33 CFR 20.501 - Conferences.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... 33 Navigation and Navigable Waters 1 2011-07-01 2011-07-01 false Conferences. 20.501 Section 20.501 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY GENERAL RULES OF... stenographic report if authorized by the ALJ; (2) A written transcript from a magnetic tape or the equivalent...

  11. 10 CFR 824.2 - Applicability.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 10 Energy 4 2010-01-01 2010-01-01 false Applicability. 824.2 Section 824.2 Energy DEPARTMENT OF ENERGY PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS § 824.2 Applicability. (a) General. These regulations apply to any person that has entered into a...

  12. 33 CFR 96.100 - Purpose.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 33 Navigation and Navigable Waters 1 2010-07-01 2010-07-01 false Purpose. 96.100 Section 96.100 Navigation and Navigable Waters COAST GUARD, DEPARTMENT OF HOMELAND SECURITY VESSEL OPERATING REGULATIONS RULES FOR THE SAFE OPERATION OF VESSELS AND SAFETY MANAGEMENT SYSTEMS General § 96.100 Purpose. This...

  13. 31 CFR 25.200 - General rules.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... Money and Finance: Treasury Office of the Secretary of the Treasury PREPAYMENT OF FOREIGN MILITARY SALES LOANS MADE BY THE DEFENSE SECURITY ASSISTANCE AGENCY AND FOREIGN MILITARY SALES LOANS MADE BY THE... principal balances of any Eligible FMS Advances shall be determined in accordance with the principal of...

  14. 19 CFR 191.7 - General manufacturing drawback ruling.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Section 191.7 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... production under § 191.2(q) of this subpart. (2) Computer-generated number. With the letter of acknowledgment the drawback office shall include the unique computer-generated number assigned to the acknowledgment...

  15. 19 CFR 191.7 - General manufacturing drawback ruling.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Section 191.7 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... production under § 191.2(q) of this subpart. (2) Computer-generated number. With the letter of acknowledgment the drawback office shall include the unique computer-generated number assigned to the acknowledgment...

  16. 19 CFR 191.7 - General manufacturing drawback ruling.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Section 191.7 Customs Duties U.S. CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY... production under § 191.2(q) of this subpart. (2) Computer-generated number. With the letter of acknowledgment the drawback office shall include the unique computer-generated number assigned to the acknowledgment...

  17. 18 CFR 3a.22 - Declassification and downgrading.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 18 Conservation of Power and Water Resources 1 2012-04-01 2012-04-01 false Declassification and downgrading. 3a.22 Section 3a.22 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Declassification and Downgrading...

  18. 18 CFR 3a.22 - Declassification and downgrading.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 18 Conservation of Power and Water Resources 1 2013-04-01 2013-04-01 false Declassification and downgrading. 3a.22 Section 3a.22 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Declassification and Downgrading...

  19. 18 CFR 3a.22 - Declassification and downgrading.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 18 Conservation of Power and Water Resources 1 2010-04-01 2010-04-01 false Declassification and downgrading. 3a.22 Section 3a.22 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Declassification and Downgrading...

  20. 18 CFR 3a.22 - Declassification and downgrading.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 18 Conservation of Power and Water Resources 1 2014-04-01 2014-04-01 false Declassification and downgrading. 3a.22 Section 3a.22 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY GENERAL RULES NATIONAL SECURITY INFORMATION Declassification and Downgrading...

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