17 CFR 260.4c-4 - Applications under section 304(c)(1).

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§ 260.4c-4 Applications under section 304(c)(1).

(a) An applicant under section 304(c)(1) may, if it so desires, waive a hearing and request the Commission to decide the application without a formal hearing on the basis of the application and such other information and documents as the Commission shall designate as a part of the record. However, a hearing may be called upon order of the Commission notwithstanding that the applicant shall have filed such a waiver and request whenever, in the judgment of the Commission, such a hearing is necessary or appropriate in the public interest.

(b) If the applicant waives a hearing and requests the Commission to decide the application without a hearing and if no hearing has been ordered by the Commission:

(1) The applicant shall, at the request of the Commission, furnish such additional information or documents as the Commission may deem necessary to decide the application.

(2) The Commission may, with the consent of the applicant, make a part of the record any pertinent information or documents filed with the Commission by the applicant or by any other person.

(3) The Commission shall, in its order deciding the application, designate and describe the information and documents comprising the record on which the decision is based.

[6 FR 981, Feb. 15, 1941]

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United States Code

Title 17 published on 2015-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 260 after this date.

  • 2015-06-19; vol. 80 # 118 - Friday, June 19, 2015
    1. 80 FR 35207 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
      GPO FDSys XML | Text
      Final rule; correction.
      This correction is effective June 19, 2015.
      17 CFR Parts 200, 230, 232, 239, 240, 249 and 260