I-SEARCH (tm) V1.89P Retrieved Documents Listing on 10/14/93 at 05:27:34. Database: USCODE Search: (21:CITE) ------DocID 28245 Document 1 of 626------ -CITE- 21 USC TITLE 21 -EXPCITE- TITLE 21 -HEAD- TITLE 21 - FOOD AND DRUGS -MISC1- Chap. Sec. 1. Adulterated or Misbranded Foods or Drugs 1 2. Teas 41 3. Filled Milk 61 4. Animals, Meats, and Meat and Dairy Products 71 5. Viruses, Serums, Toxins, Antitoxins, and Analogous Products 151 5A. Bureau of Narcotics (Omitted) 161 6. Narcotic Drugs (Repealed or Transferred) 171 7. Practice of Pharmacy and Sale of Poisons in Consular Districts in China 201 8. Narcotic Farms (Repealed) 221 9. Federal Food, Drug, and Cosmetic Act 301 10. Poultry and Poultry Products Inspection 451 11. Manufacture of Narcotic Drugs (Repealed) 501 12. Meat Inspection 601 13. Drug Abuse Prevention and Control 801 14. Alcohol and Drug Abuse Educational Programs and Activities (Repealed) 1001 15. Egg Products Inspection 1031 16. Drug Abuse Prevention, Treatment, and Rehabilitation 1101 17. National Drug Enforcement Policy (Repealed) 1201 18. President's Media Commission on Alcohol and Drug Abuse Prevention 1301 19. Pesticide Monitoring Improvements 1401 20. National Drug Control Program 1501 -CROSS- CROSS REFERENCES Biological products, regulation, see section 262 of Title 42, The Public Health and Welfare. Narcotics, instruction as to nature and effect of, see section 111 et seq. of Title 20, Education. Packers and Stockyards Act, see section 181 et seq. of Title 7, Agriculture. -SECREF- TITLE REFERRED TO IN OTHER SECTIONS This title is referred to in title 18 section 3050. ------DocID 28259 Document 2 of 626------ -CITE- 21 USC Sec. 21 -EXPCITE- TITLE 21 CHAPTER 1 SUBCHAPTER II -HEAD- Sec. 21. Branding grades on barrels of apples -STATUTE- The barrels in which apples are packed in accordance with the provisions of sections 20 to 23 of this title may be branded in accordance with the provisions of section 20 of this title. -SOURCE- (Aug. 3, 1912, ch. 273, Sec. 3, 37 Stat. 251.) -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 22, 23 of this title. ------DocID 7785 Document 3 of 626------ -CITE- 3 USC Sec. 21 -EXPCITE- TITLE 3 CHAPTER 1 -HEAD- Sec. 21. Definitions -STATUTE- As used in this chapter the term - (a) 'State' includes the District of Columbia. (b) 'executives of each State' includes the Board of Commissioners of the District of Columbia. -SOURCE- (Added Pub. L. 87-389, Sec. 2(a), Oct. 4, 1961, 75 Stat. 820.) -TRANS- TRANSFER OF FUNCTIONS Except as otherwise provided in Reorg. Plan No. 3 of 1967, eff. Aug. 11, 1967 (in part), 32 F.R. 11669, 81 Stat. 948, functions of Board of Commissioners of District of Columbia transferred to Commissioner of District of Columbia by section 401 of Reorg. Plan No. 3 of 1967. Office of Commissioner of District of Columbia, as established by Reorg. Plan No. 3 of 1967, abolished as of noon Jan. 2, 1975, by Pub. L. 93-198, title VII, Sec. 711, Dec. 24, 1973, 87 Stat. 818, and replaced by office of Mayor of District of Columbia by section 421 of Pub. L. 93-198, classified to section 1-241 of the District of Columbia Code. ------DocID 7996 Document 4 of 626------ -CITE- 5 USC CHAPTER 21 -EXPCITE- TITLE 5 PART III Subpart A CHAPTER 21 -HEAD- CHAPTER 21 - DEFINITIONS -MISC1- Sec. 2101. Civil service; armed forces; uniformed services. 2101a. The Senior Executive Service. 2102. The competitive service. 2103. The excepted service. 2104. Officer. 2105. Employee. 2106. Member of Congress. 2107. Congressional employee. 2108. Veteran; disabled veteran; preference eligible. 2109. Air traffic controller; Secretary. AMENDMENTS 1980 - Pub. L. 96-347, Sec. 1(d), Sept. 12, 1980, 94 Stat. 1150, substituted 'controller; Secretary' for 'controller' in item 2109. 1978 - Pub. L. 95-454, title IV, Sec. 401(e), Oct. 13, 1978, 92 Stat. 1154, added item 2101a. 1972 - Pub. L. 92-297, Sec. 1(b), May 16, 1972, 86 Stat. 141, added item 2109. ------DocID 8974 Document 5 of 626------ -CITE- 5 USC APPENDIX - REORGANIZATION PLAN NO. 21 OF 1950 -EXPCITE- TITLE 5 APPENDIX REORGANIZATION PLANS REORGANIZATION PLAN NO -HEAD- REORGANIZATION PLAN NO. 21 OF 1950 -MISC1- EFF. MAY 24, 1950, 15 F.R. 3178, 64 STAT. 1273, AS AMENDED REORG. PLAN NO. 7 OF 1961, SEC. 305, EFF. AUG. 12, 1961, 26 F.R. 7315, 75 STAT. 840; OCT. 21, 1970, PUB. L. 91-469, SEC. 37, 84 STAT. 1036 Prepared by the President and transmitted to the Senate and the House of Representatives in Congress assembled, March 13, 1950, pursuant to the provisions of the Reorganization Act of 1949, approved June 20, 1949 (see 5 U.S.C. 901 et seq.). PART I. FEDERAL MARITIME BOARD Sections 101-106. (Superseded. Reorg. Plan No. 7 of 1961, Sec. 305, eff. Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840. Section 101 established the Federal Maritime Board. Section 102 provided for the composition of the Federal Maritime Board. Section 103 transferred certain functions from the Chairman of the United States Maritime Commission to the Chairman of the Federal Maritime Board. Section 104 transferred regulatory functions of the United States Maritime Commission to the Federal Maritime Board. Section 105 transferred subsidy award and other functions of the United States Maritime Commission to the Federal Maritime Board. Section 106 provided that the Board was to be an agency within the Department of Commerce, but would be independent of the Secretary of Commerce with respect to functions transferred to it under section 104.) PART II. MARITIME ADMINISTRATION SEC. 201. CREATION OF MARITIME ADMINISTRATION There is hereby established in the Department of Commerce a Maritime Administration. Sec. 202 (Superseded. Reorg. Plan No. 7 of 1961, Sec. 305, eff. Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840. Section provided for a Maritime Administrator to be at the head of the Maritime Administration, and that the Chairman of the Federal Maritime Board would be such Administrator and would perform duties prescribed by the Secretary of Commerce.) SEC. 203. DEPUTY MARITIME ADMINISTRATOR There shall be in the Maritime Administration a Deputy Maritime Administrator, who shall be appointed by the Secretary of Commerce, after consultation with the Administrator, under the classified civil service, and who shall perform such duties as the Administrator shall prescribe. The Deputy Maritime Administrator shall be Acting Maritime Administrator during the absence or disability of the Administrator and, unless the Secretary of Commerce shall designate another person, during a vacancy in the office of Administrator: Provided, That such Deputy Administrator shall at no time sit as a member or acting member of the Federal Maritime Board. SEC. 204. TRANSFER OF FUNCTIONS Except as otherwise provided in part I of this reorganization plan, all functions of the United States Maritime Commission and of the Chairman of said Commission are hereby transferred to the Secretary of Commerce. The Secretary of Commerce may from time to time make such provisions as he shall deem appropriate authorizing the performance by the Maritime Administrator of any function transferred to such Secretary by the provisions of this reorganization plan. PART III. GENERAL PROVISIONS SEC. 301. UNDER SECRETARY OF COMMERCE FOR TRANSPORTATION There shall be in the Department of Commerce an additional office of Under Secretary with the title 'Under Secretary of Commerce for Transportation.' The Under Secretary of Commerce for Transportation shall be appointed by the President, by and with the advice and consent of the Senate, shall receive compensation at the rate prescribed by law for Under Secretaries of Executive departments, and shall perform such duties as the Secretary of Commerce shall prescribe. Secs. 302-307. (Superseded. Reorg. Plan No. 7 of 1961, Sec. 305, eff. Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840. Section 302 provided that person who was both Administrator and Chairman was to make joint use of the personnel under his supervision. Section 303 made conflict of interest provisions of the Merchant Marine Act, 1936, applicable to members of the Federal Maritime Board and officers and employees of the Board or of the Maritime Administration. Section 304 allowed the President to make interim appointments to the Federal Maritime Board from officers of the Executive Branch. Section 305 transferred to the Department of Commerce all property, personnel, records, and funds of the United States Maritime Commission. Section 306 abolished the United States Maritime Commission. Section 307 provided that the functions transferred by this reorganization plan would not be subject to Reorg. Plan No. 5 of 1950.) MESSAGE OF THE PRESIDENT To the Congress of the United States: I transmit herewith Reorganization Plan No. 21 of 1950, prepared in accordance with the provisions of the Reorganization Act of 1949. This plan effects a basic reorganization of the functions of the United States Maritime Commission along the lines recommended by the Commission on Organization of the Executive Branch of the Government. Within the last 3 years three different bodies have studied the administration of the Maritime Commission. All have concluded that the operating deficiencies of the agency arise from inappropriate and unsound organization and that a fundamental reorganization is essential. The first of these bodies, the President's Advisory Committee on the Merchant Marine, in 1947, stated: It appears to the Committee that the organization structure of the Maritime Commission as set up in the Merchant Marine Act of 1936 is wholly inadequate for the efficient conduct of the multitude of diverse activities for which the Maritime Commission is now responsible. The deficiencies of the statutory organization for administrative action are regarded by the Committee to be the most serious obstacle standing in the way of the development of the Merchant Marine of this country. Similarly, the survey of the Maritime Commission in 1948 for the Senate Committee on Expenditures in the Executive Departments concluded that - The fundamental weakness of the Maritime Commission, as it is now constituted, lies in its proscribed organization. On the basis of investigations of the Maritime Commission by two of its task forces, the Commission on Organization of the Executive Branch stated: It is an anomaly that a regulatory commission should also conduct the executive function of managing a huge business; that executive functions should be carried on by an agency that is not subject to Presidential directions; that executive functions should be carried on by a full-time board * * *. While the recommendations of the various studies differ in some details, they agree on principles and on the main features of reorganization. Basically, the administrative difficulties of the Maritime Commission have arisen, as all these studies agree, from the fact that the Commission is responsible for performing two fundamentally different types of functions which call for different types of organization. These two classes of functions are (a) regulatory and (b) operating and promotional. Under various acts the Commission regulates rates and services of water carriers; passes on agreements among carriers; and protects shippers against unfair and discriminatory practices. This type of activity requires the deliberation and independence of judgment which a board or commission is especially well designed to provide. But at the same time the Commission is charged with the conduct of a variety of large and costly promotional and business-type programs demanding the prompt and vigorous administration for which experience both in Government and in private enterprise has demonstrated that a single executive is essential. The Maritime Commission has charge of the construction of merchant vessels for subsidized operators and for Government account. It owns and maintains the largest merchant fleet in the world, consisting of 2,200 vessels aggregating more than 22,000,000 dead-weight tons. It charters and sells ships and, in time of war or national emergency, requisitions and operates vessels for the Government. It grants construction and operating differential subsidies to private shipping companies to maintain an active privately operated American merchant marine. It makes loans and insures mortgages to assist carriers in acquiring new vessels, and it conducts programs for training officers and seamen for the merchant marine. For the present fiscal year the performance of these functions will involve the expenditure of approximately $162,000,000 and the direction of an organization of 5,500 employees. In short, the administration of the Maritime Commission is a vast business undertaking. Moreover, the work of the Commission affects significantly the interests of both business and labor in the maintenance of a sound maritime industry. Further than this, many of the activities of the Maritime Commission are closely related to other programs of the Government and have to be coordinated with them. In the construction of a subsidized ship the Commission must cooperate with the Coast Guard on those features of design, materials, and equipment which affect the safety of the vessel and with the Navy on those which especially affect the use of the ship for national defense. Furthermore, the whole program of subsidized ship construction needs to be adjusted to the plans and requirements for national defense. At the same time the Commission's programs for the development of the merchant marine must be coordinated with our foreign policy and with Federal programs with respect to other branches of transportation. While an independent commission is an appropriate instrument for the performance of the regulatory functions of the Maritime Commission, such an agency obviously is not the type required to provide strong and efficient administration of the large operating programs now entrusted to the Commission or to obtain the needed coordination with other activities of the executive branch. This fact is amply demonstrated by the administrative difficulties and the complicated problems of coordination encountered in the operation of the Commission since the war and by the necessity of transferring a large part of its functions to the War Shipping Administration, headed by a single executive, during the war. Briefly, this reorganization plan provides for a small Federal Maritime Board and a Maritime Administration in the Department of Commerce to perform the functions of the Maritime Commission, and abolishes the existing Commission. It transfers to the Board the regulatory functions of the Commission and definitely guarantees the independence of the Board in the performance of these functions. In addition, it vests directly in the Board the determination and award of construction and operating differential subsidies. In the performance of its subsidy functions the Board will be subject to general policy guidance by the Secretary of Commerce. The Board, however, and it alone, will determine to whom subsidies shall be granted and will make and award the subsidy contracts. Its actions therein will be conclusive and will not be subject to modification by any other agency or officer of the Department of Commerce. The other functions of the Maritime Commission, including carrying out the subsidy agreements made by the Board and administering the various operating programs, are transferred to the Secretary of Commerce for administration through the Maritime Administration. Thus, the plan provides for each of the two types of functions now vested in the Maritime Commission the type of organization best suited to its performance. At the same time, the plan will facilitate coordination of maritime policies and programs with other related policies and programs. The division of functions under this plan conforms directly to the recommendations of the Commission on Organization of the Executive Branch of the Government. While the award of subsidies is a promotional rather than a regulatory function and might logically be assigned to the Maritime Administration instead of the Board, its impact on the shipping industry and on individual carriers is such as to make desirable the deliberation and combined judgment of a board. Accordingly, I have adhered to the recommendation of the Commission on Organization that this function be vested in a multiple body rather than a single official. Likewise, in line with the recommendations of the Commission, the plan assigns the determination of the over-all route pattern to the Secretary of Commerce. The Maritime Board will consist of three members appointed by the President with the consent of the Senate for overlapping terms of 4 years. Not more than two of the members can be of the same political party. The Board, therefore, will be a smaller and more wieldy body which can function with greater expedition and efficiency than the existing five-member Commission. The Chairman will be designated by the President from the members of the Board and will be, ex officio, the Maritime Administrator and as such the head of the Maritime Administration. The plan also provides for a Deputy Maritime Administrator appointed by the Secretary of Commerce under the classified civil service. After investigation I have found, and hereby declare, that by reason of the reorganizations made by this plan, it is necessary to include in the plan provisions for the appointment and compensation of the members of the Federal Maritime Board and for the appointment of the Deputy Maritime Administrator. In making the Chairman of the Federal Maritime Board the Maritime Administrator, the plan adopts an arrangement substantially similar to that which prevailed during the war, when the same individual served as Chairman of the Maritime Commission and head of the War Shipping Administration. This arrangement will have important advantages. It will facilitate cooperation between the Board and the Administration on matters of concern to both. Also, it will avoid dividing the personnel of the Maritime Commission, since the Chairman of the Board will supervise the personnel assisting it in the performance of its functions, as is now the case in the Maritime Commission, and in his capacity as Administrator he will have charge of the personnel carrying on the work of the Maritime Administration. The plan provides for the joint operation of the officers and employees under the Administrator and Chairman as a single body of personnel. The maintenance of a unified staff is essential for efficient and economical administration because many of the technical and professional personnel, such as ship designers and attorneys, now assist the Maritime Commission on problems of subsidy determination and also participate in the subsequent administration of subsidy agreements and in performing nonsubsidy functions. The inclusion of the new Board in the Department of Commerce will permit the use of the administrative services of the Department. More important, it will eliminate the necessity of splitting the personnel of the Maritime Commission between the Department and an outside agency. In addition, it will relieve the President of having to handle relations with a separate maritime agency. In establishing the Department of Commerce the Congress provided in the organic act of the Department that - It shall be the province and duty of said Department to foster, promote, and develop the foreign and domestic commerce, * * * shipping, * * * and the transportation facilities of the United States. Over the years, however, transportation functions have become widely scattered throughout the executive branch. As a result, intelligent planning and budgeting of Federal transportation activities and the necessary coordination of transportation programs have become extremely difficult or impossible. The transfer of the functions of the Maritime Commission to the Department of Commerce will constitute a major step in correcting this condition. Without question the Department of Commerce is now the appropriate center for transportation programs. It contains the Civil Aeronautics Administration - the major operating and promotional agency of the Government in the field of air transportation - and the Weather Bureau, and the Coast and Geodetic Survey, which provide vital services to transportation. As a result of Reorganization Plan No. 7 of 1949, it now also includes the Bureau of Public Roads, the leading promotional agency dealing with land transportation. Also, it has the Inland Waterways Corporation in the field of water transportation. The transfer of the functions of the Maritime Commission will bring into the Department the principal water-transportation agency of the Government. These actions will go a long way toward the establishment of a sound and effective organization for the operating and promotional programs of the Government relating to transportation. It is my purpose to look to the Secretary of Commerce for leadership with respect to transportation problems and for the development of over-all transportation policy within the executive branch. Because of the magnitude and importance of the transportation functions transferred to the Department of Commerce by this reorganization plan, I have found and hereby declare that it is necessary to strengthen the top administrative structure of the Department by providing for the appointment and compensation of a new Under Secretary of Commerce for Transportation. This will make available an officer of the highest rank to assist the Secretary in supervising the varied and complex transportation programs of the Department and providing central leadership in transportation matters. With the many responsibilities of the Secretary of Commerce in other areas, the creation of this office is essential to enable him properly to fulfill his obligations with respect to transportation. After careful investigation I have found and I hereby declare that each of the reorganizations contained in this reorganization plan is necessary to accomplish one or more of the purposes set forth in section 2(a) of the Reorganization Act of 1949. The rates of compensation fixed by the provisions of the reorganization plan for the Under Secretary of Commerce for Transportation, the Chairman, and the other two members of the Federal Maritime Board are, respectively, those which I have found to prevail in respect of comparable officers in the executive branch of the Government. In summary, the reorganizations provided by this plan will have the following principal advantages: They will provide an efficient organization headed by a single responsible official to administer the large operating and business-type programs of the Maritime Commission. At the same time, they will preserve the benefits of a bipartisan board for the performance of the regulatory functions of the Commission and the determination of subsidies. They will reduce the number of agencies reporting directly to the President and simplify the over-all management of the executive branch. In doing so, they will provide more adequate machinery for supervising the administration of the maritime programs and will facilitate their coordination with related policies and programs of the executive branch. Finally, they will accomplish a major advance in the development of an effective organization of Federal transportation programs in accord with the recommendations of the Commission on Organization of the Executive Branch of the Government. While it is impossible to estimate in advance the savings which will be brought about by this plan, the improvements in administrative efficiency resulting from it should produce substantial reductions in expenditures for the programs transferred by the plan. Harry S. Truman. The White House, March 13, 1950. ------DocID 9107 Document 6 of 626------ -CITE- 7 USC Sec. 21 -EXPCITE- TITLE 7 CHAPTER 1 -HEAD- Sec. 21. Registered futures associations -STATUTE- (a) Registration statement Any association of persons may be registered with the Commission as a registered futures association pursuant to subsection (b) of this section, under the terms and conditions hereinafter provided in this section, by filing with the Commission for review and approval a registration statement in such form as the Commission may prescribe, setting forth the information, and accompanied by the documents, below specified: (1) Data as to its organization, membership, and rules of procedure, and such other information as the Commission may by rules and regulations require as necessary or appropriate in the public interest; and (2) Copies of its constitution, charter, or articles of incorporation or association, with all amendments thereto, and of its bylaws, and of any rules or instruments corresponding to the foregoing, whatever the name, hereinafter in this section collectively referred to as the 'rules of the association'. (b) Standards for registration; Commission findings An applicant association shall not be registered as a futures association unless the Commission finds, under standards established by the Commission, that - (1) such association is in the public interest and that it will be able to comply with the provisions of this section and the rules and regulations thereunder and to carry out the purposes of this section; (FOOTNOTE 1) (FOOTNOTE 1) So in original. The semicolon probably should be a period. (2) the rules of the association provide that any person registered under this chapter, contract market, or any other person designated pursuant to the rules of the Commission as eligible for membership may become a member of such association, except such as are excluded pursuant to paragraph (3) or (4) of this subsection, or a rule of the association permitted under this subparagraph. The rules of the association may restrict membership in such association on such specified basis relating to the type of business done by its members, or on such other specified and appropriate basis, as appears to the Commission to be necessary or appropriate in the public interest and to carryout the purpose of this section. Rules adopted by the association may provide that the association may, unless the Commission directs otherwise in cases in which the Commission finds it appropriate in the public interest so to direct, deny admission to, or refuse to continue in such association any person if (i) such person, whether prior or subsequent to becoming registered as such, or (ii) any person associated within the meaning of 'associated person' as set forth in section 6k of this title, whether prior or subsequent to becoming so associated, has been and is suspended or expelled from a contract market or has been and is barred or suspended from being associated with all members of such contract market, for violation of any rule of such contract market; (FOOTNOTE 1) (3) the rules of the association provide that, except with the approval or at the direction of the Commission in cases in which the Commission finds it appropriate in the public interest so to approve or direct, no person shall be admitted to or continued in membership in such association, if such person - (A) has been and is suspended or expelled from a registered futures association or from a contract market or has been and is barred or suspended from being associated with all members of such association or from being associated with all members of such contract market, for violation of any rule of such association or contract market which prohibits any act or transaction constituting conduct inconsistent with just and equitable principles of trade, or requires any act the omission of which constitutes conduct inconsistent with just and equitable principles of trade; or (B) is subject to an order of the Commission denying, suspending, or revoking his registration pursuant to section 9 of this title, or expelling or suspending him from membership in a registered futures association or a contract market, or barring or suspending him from being associated with a futures commission merchant; or (C) whether prior or subsequent to becoming a member, by his conduct while associated with a member, was a cause of any suspension, expulsion, or order of the character described in clause (A) or (B) which is in effect with respect to such member, and in entering such a suspension, expulsion, or order, the Commission or any such contract market or association shall have jurisdiction to determine whether or not any person was a cause thereof; or (D) has associated with him any person who is known, or in the exercise of reasonable care should be known, to him to be a person who would be ineligible for admission to or continuance in membership under clause (A), (B), or (C) of this paragraph. (4) the rules of the association provide that, except with the approval or at the direction of the Commission in cases in which the Commission finds it appropriate in the public interest so to approve or direct, no person shall become a member and no natural person shall become a person associated with a member, unless such person is qualified to become a member or a person associated with a member in conformity with specified and appropriate standards with respect to the training, experience, and such other qualifications of such person as the association finds necessary or desirable, and in the case of a member, the financial responsibility of such a member. For the purpose of defining such standards and the application thereof, such rules may - (A) appropriately classify prospective members (taking into account relevant matters, including type or nature of business done) and persons proposed to be associated with members. (B) specify that all or any portion of such standard shall be applicable to any such class. (C) require persons in any such class to pass examinations prescribed in accordance with such rules. (D) provide that persons in any such class other than prospective members and partners, officers and supervisory employees (which latter term may be defined by such rules and as so defined shall include branch managers of members) of members, may be qualified solely on the basis of compliance with specified standards of training and such other qualifications as the association finds appropriate. (E) provide that applications to become a member or a person associated with a member shall set forth such facts as the association may prescribe as to the training, experience, and other qualifications (including, in the case of an applicant for membership, financial responsibility) of the applicant and that the association shall adopt procedures for verification of qualifications of the applicant, which may require the applicant to be fingerprinted and to submit, or cause to be submitted, such fingerprints to the Attorney General for identification and appropriate processing. Notwithstanding any other provision of law, such an association may receive from the Attorney General all the results of such identification and processing. (F) require any class of persons associated with a member to be registered with the association in accordance with procedures specified by such rules (and any application or document supplemental thereto required by such rules of a person seeking to be registered with such association shall, for the purposes of section 9 of this title, be deemed an application required to be filed under this section). (5) the rules of the association assure a fair representation of its members in the adoption of any rule of the association or amendment thereto, the selection of its officers and directors, and in all other phases of the administration of its affairs. (6) the rules of the association provide for the equitable allocation of dues among its members, to defray reasonable expenses of administration. (7) the rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, in general, to protect the public interest, and to remove impediments to and perfect the mechanism of free and open futures trading. (8) the rules of the association provide that its members and persons associated with its members shall be appropriately disciplined, by expulsion, suspension, fine, censure, or being suspended or barred from being associated with all members, or any other fitting penalty, for any violation of its rules. (9) the rules of the association provide a fair and orderly procedure with respect to the disciplining of members and persons associated with members and the denial of membership to any person seeking membership therein or the barring of any person from being associated with a member. In any proceeding to determine whether any member or other person shall be disciplined, such rules shall require that specific charges be brought; that such member or person shall be notified of, and be given an opportunity to defend against, such charges; that a record shall be kept; and that the determination shall include - (A) a statement setting forth any act or practice in which such member or other person may be found to have engaged, or which such member or other person may be found to have omitted. (B) a statement setting forth the specific rule or rules of the association of which any such act or practice, or omission to act, is deemed to be in violation. (C) a statement whether the acts or practices prohibited by such rule or rules, or the omission of any act required thereby, are deemed to constitute conduct inconsistent with just and equitable principles of trade. (D) a statement setting forth the penalty imposed. In any proceeding to determine whether a person shall be denied membership or whether any person shall be barred from being associated with a member, such rules shall provide that the person shall be notified of, and be given an opportunity to be heard upon, the specific grounds for denial or bar which are under consideration; that a record shall be kept; and that the determination shall set forth the specific grounds upon which the denial or bar is based. (10) the rules of the association provide a fair, equitable, and expeditious procedure through arbitration or otherwise for the settlement of customers' claims and grievances against any member or employee thereof: Provided, That (i) the use of such procedure by a customer shall be voluntary and (ii) the term 'customer' as used in this paragraph shall not include another member of the association. (c) Suspension of registration The Commission may, after notice and opportunity for hearing, suspend the registration of any futures association if it finds that the rules thereof do not conform to the requirements of the Commission, and any such suspension shall remain in effect until the Commission issues an order determining that such rules have been modified to conform with such requirements. (d) Fees and charges In addition to the fees and charges authorized by section 12a(1) of this title, each person registered under this chapter, who is not a member of a futures association registered pursuant to this section, shall pay to the Commission such reasonable fees and charges as may be necessary to defray the costs of additional regulatory duties required to be performed by the Commission because such person is not a member of a registered futures association. The Commission shall establish such additional fees and charges by rules and regulations. (e) Registered persons not members of registered associations Any person registered under this chapter, who is not a member of a futures association registered pursuant to this section, in addition to the other requirements and obligations of this chapter and the regulations thereunder shall be subject to such other rules and regulations as the Commission may find necessary to protect the public interest and promote just and equitable principles of trade. (f) Denial of registration Upon filing of an application for registration pursuant to subsection (a) of this section, the Commission may by order grant such registration if the requirements of this section are satisfied. If, after appropriate notice and opportunity for hearing, it appears to the Commission that any requirement of this section is not satisfied, the Commission shall by order deny such registration. (g) Withdrawal from registration; notice of withdrawal A registered futures association may, upon such reasonable notice as the Commission may deem necessary in the public interest, withdraw from registration by filing with the Commission a written notice of withdrawal in such form as the Commission may by rules and regulations prescribe. (h) Commission review of disciplinary actions taken by registered futures associations (1) If any registered futures association takes any final disciplinary action against a member of the association or a person associated with a member, denies admission to any person seeking membership therein, or bars any person from being associated with a member, the association promptly shall give notice thereof to such member or person and file notice thereof with the Commission. The notice shall be in such form and contain such information as the Commission, by rule or regulation, may prescribe as necessary or appropriate to carry out the purposes of this chapter. (2) Any action with respect to which a registered futures association is required by paragraph (1) to file notice shall be subject to review by the Commission on its motion, or on application by any person aggrieved by the action. Such application shall be filed within 30 days after the date such notice is filed with the Commission and received by the aggrieved person, or within such longer period as the Commission may determine. (3)(A) Application to the Commission for review, or the institution of review by the Commission on its own motion, shall not operate as a stay of such action unless the Commission otherwise orders, summarily or after notice and opportunity for hearing on the question of a stay (which hearing may consist solely of the submission of affidavits or presentation of oral arguments). (B) The Commission shall establish procedures for expedited consideration and determination of the question of a stay. (i) Notice; hearing; findings; cancellation, reduction, or remission of penalties; review by court of appeals (1) In a proceeding to review a final disciplinary action taken by a registered futures association against a member thereof or a person associated with a member, after appropriate notice and opportunity for a hearing (which hearing may consist solely of consideration of the record before the association and opportunity for the presentation of supporting reasons to affirm, modify, or set aside the sanction imposed by the association) - (A) if the Commission finds that - (i) the member or person associated with a member has engaged in the acts or practices, or has omitted the acts, that the association has found the member or person to have engaged in or omitted; (ii) the acts or practices, or omissions to act, are in violation of the rules of the association specified in the determination of the association; and (iii) such rules are, and were applied in a manner, consistent with the purposes of this chapter, the Commission, by order, shall so declare and, as appropriate, affirm the sanction imposed by the association, modify the sanction in accordance with paragraph (2), or remand the case to the association for further proceedings; or (B) if the Commission does not make any such finding, the Commission, by order, shall set aside the sanction imposed by the association and, if appropriate, remand the case to the association for further proceedings. (2) If, after a proceeding under paragraph (1), the Commission finds that any penalty imposed on a member or person associated with a member is excessive or oppressive, having due regard for the public interest, the Commission, by order, shall cancel, reduce, or require the remission of the penalty. (3) In a proceeding to review the denial of membership in a registered futures association or the barring of any person from being associated with a member, after appropriate notice and opportunity for a hearing (which hearing may consist solely of consideration of the record before the association and opportunity for the presentation of supporting reasons to affirm, modify, or set aside the action of the association) - (A) if the Commission finds that - (i) the specific grounds on which the denial or bar is based exist in fact; (ii) the denial or bar is in accordance with the rules of the association; and (iii) such rules are, and were applied in a manner, consistent with the purposes of this chapter, the Commission, by order, shall so declare and, as appropriate, affirm or modify the action of the association, or remand the case to the association for further proceedings; or (B) if the Commission does not make any such finding, the Commission, by order, shall set aside the action of the association and require the association to admit the applicant to membership or permit the person to be associated with a member, or, as appropriate, remand the case to the association for further proceedings. (4) Any person (other than a registered futures association) aggrieved by a final order of the Commission entered under this subsection may file a petition for review with a United States court of appeals in the same manner as provided in section 9 of this title. (j) Changes or additions to association rules Every registered futures association shall file with the Commission in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest, copies of any changes in or additions to the rules of the association, and such other information and documents as the Commission may require to keep current or to supplement the registration statement and documents filed pursuant to subsection (a) of this section. A registered futures association shall submit to the Commission any change in or addition to its rules and may make such rules effective ten days after receipt of such submission by the Commission unless, within the ten-day period, the registered futures association requests review and approval thereof by the Commission or the Commission notifies such registered futures association in writing of its determination to review such rules for approval. The Commission shall approve such rules if such rules are determined by the Commission to be consistent with the requirements of this section and not otherwise in violation of this chapter or the regulations issued pursuant to this chapter, and the Commission shall disapprove, after appropriate notice and opportunity for hearing, any such rule which the Commission determines at any time to be inconsistent with the requirements of this section or in violation of this chapter or the regulations issued pursuant to this chapter. If the Commission does not approve or institute disapproval proceedings with respect to any rule within one hundred and eighty days after receipt or within such longer period of time as the registered futures association may agree to, or if the Commission does not conclude a disapproval proceeding with respect to any rule within one year after receipt or within such longer period as the registered futures association may agree to, such rule may be made effective by the registered futures association until such time as the Commission disapproves such rule in accordance with this subsection. (k) Abrogation of association rules; requests to associations by Commission to alter or supplement rules (1) The Commission is authorized by order to abrogate any rule of a registered futures association, if after appropriate notice and opportunity for hearing, it appears to the Commission that such abrogation is necessary or appropriate to assure fair dealing by the members of such association, to assure a fair representation of its members in the administration of its affairs or effectuate the purposes of this section. (2) The Commission may in writing request any registered futures association to adopt any specified alteration or supplement to its rules with respect to any of the matters hereinafter enumerated. If such association fails to adopt such alteration or supplement within a reasonable time, the Commission is authorized by order to alter or supplement the rules of such association in the manner theretofore requested, or with such modifications of such alteration or supplement as it deems necessary if, after appropriate notice and opportunity for hearing, it appears to the Commission that such alteration or supplement is necessary or appropriate in the public interest or to effectuate the purposes of this section, with respect to - (A) the basis for, and procedure in connection with, the denial of membership or the barring from being associated with a member or the disciplining of members or persons associated with members, or the qualifications required for members or natural persons associated with members or any class thereof; (B) the method for adoption of any change in or addition to the rules of the association; (C) the method of choosing officers and directors. (l) Suspension and revocation of registration; expulsion of members; removal of association officers or directors The Commission is authorized, if such action appears to it to be necessary or appropriate in the public interest or to carry out the purposes of this section - (1) after appropriate notice and opportunity for hearing, by order to suspend for a period not exceeding twelve months or to revoke the registration of a registered futures association, if the Commission finds that such association has violated any provisions of this chapter or any rule or regulation thereunder, or has failed to enforce compliance with its own rules, or has engaged in any other activity tending to defeat the purposes of this chapter; (2) after appropriate notice and opportunity for hearing, by order to suspend for a period not exceeding twelve months or to expel from a registered futures association any member thereof, or to suspend for a period not exceeding twelve months or to bar any person from being associated with a member thereof, if the Commission finds that such member or person - (A) has violated any provision of this chapter or any rule or regulation thereunder, or has effected any transaction for any other person who, he had reason to believe, was violating with respect to such transaction any provision of this chapter or any rule or regulation thereunder; or (B) has willfully violated any provision of this chapter, or of any rule, regulation, or order thereunder, or has effected any transaction for any other person who, he had reason to believe, was willfully violating with respect to such transaction any provision of this chapter or rule, regulation, or order. (FOOTNOTE 2) (FOOTNOTE 2) So in original. The period probably should be a semicolon. (3) after appropriate notice and opportunity for hearing, by order to remove from office any officer or director of a registered futures association who, the Commission finds, has willfully failed to enforce the rules of the association, or has willfully abused his authority. (m) Rules requiring membership in associations Notwithstanding any other provision of law, the Commission may approve rules of futures associations that, directly or indirectly, require persons eligible for membership in such associations to become members of at least one such association, upon a determination by the Commission that such rules are necessary or appropriate to achieve the purposes and objectives of this chapter. (n) Reports to Congress The Commission shall include in its annual reports to Congress information concerning any futures associations registered pursuant to this section and the effectiveness of such associations in regulating the practices of the members. (o) Delegation to futures associations of registrative functions; discretionary review by Commission; judicial appeal (1) The Commission may require any futures association registered pursuant to this section to perform any portion of the registration functions under this chapter with respect to each member of the association other than a contract market and with respect to each associated person of such member, in accordance with rules, notwithstanding any other provision of law, adopted by such futures association and submitted to the Commission pursuant to subsection (j) of this section, and subject to the provisions of this chapter applicable to registrations granted by the Commission. (2) In performing any Commission registration function authorized by the Commission under section 12a(10) of this title, this section, or any other applicable provisions of this chapter, a futures association may issue orders (A) to refuse to register any person, (B) to register conditionally any person, (C) to suspend the registration of any person, (D) to place restrictions on the registration of any person, or (E) to revoke the registration of any person. If such an order is the final decision of the futures association, any person against whom the order has been issued may petition the Commission to review the decision. The Commission may on its own initiative or upon petition decline review or grant review and affirm, set aside, or modify such an order of the futures association; and the findings of the futures association as to the facts, if supported by the weight of the evidence, shall be conclusive. Unless the Commission grants review under this section of an order concerning registration issued by a futures association, the order of the futures association shall be considered to be an order issued by the Commission. (3) Nothing in this section shall affect the Commission's authority to review the granting of a registration application by a registered futures association that is performing any Commission registration function authorized by the Commission under section 12a(10) of this title, this section, or any other applicable provision of this chapter. (4) If a person against whom a futures association has issued a registration order under this subsection petitions the Commission to review that order and the Commission declines to take review, such person may file a petition for review with a United States court of appeals, in accordance with section 9 of this title. (p) Establishment of rules for futures associations; approval by Commission Notwithstanding any other provision of this section, each futures association registered under this section on January 11, 1983, shall adopt and submit for Commission approval not later than ninety days after such date, and each futures association that applies for registration after such date shall adopt and include with its application for registration, rules of the association that require the association to - (1) establish training standards and proficiency testing for persons involved in the solicitation of transactions subject to the provisions of this chapter, supervisors of such persons, and all persons for which it has registration responsibilities, and a program to audit and enforce compliance with such standards; (2) establish minimum capital, segregation, and other financial requirements applicable to its members for which such requirements are imposed by the Commission and implement a program to audit and enforce compliance with such requirements, except that such requirements may not be less stringent than those imposed on such firms by this chapter or by Commission regulation; and (3) establish minimum standards governing the sales practices of its members and persons associated therewith for transactions subject to the provisions of this chapter. (q) Program for implementation of rules Each futures association registered under this section shall develop a comprehensive program that fully implements the rules approved by the Commission under this section as soon as practicable but not later than September 30, 1985, in the case of any futures association registered on January 11, 1983, and not later than two and one-half years after the date of registration in the case of any other futures association registered under this section. -SOURCE- (Sept. 21, 1922, ch. 369, Sec. 17, as added Oct. 23, 1974, Pub. L. 93-463, title III, Sec. 301, 88 Stat. 1406, and amended Sept. 30, 1978, Pub. L. 95-405, Sec. 22, 92 Stat. 876; Jan. 11, 1983, Pub. L. 97-444, title II, Sec. 217(b), 233, 96 Stat. 2307, 2320; Nov. 10, 1986, Pub. L. 99-641, title I, Sec. 107, 108, 110(6), (7), 100 Stat. 3558, 3559, 3561.) -MISC1- AMENDMENTS 1986 - Subsec. (b)(2). Pub. L. 99-641, Sec. 110(6), substituted 'within' for 'with in' before 'the meaning'. Subsec. (h). Pub. L. 99-641, Sec. 107, amended subsec. (h) generally. Prior to amendment, subsec. (h) read as follows: 'If any registered futures association takes any disciplinary action against any member thereof or any person associated with such a member or denies admission to any person seeking membership therein, or bars any person from being associated with a member, such action shall be subject to review by the Commission, on its own motion, or upon application by any person aggrieved thereby filed within thirty days after such action has been taken or within such longer period as the Commission may determine. Application to the Commission for review, or the institution of review by the Commission on its own motion, shall operate as a stay of such action until an order is issued upon such review pursuant to subsection (i) of this section unless the Commission otherwise orders, after notice and opportunity for hearing on the question of a stay (which hearing may consist solely of affidavits and oral arguments).' Subsec. (i). Pub. L. 99-641, Sec. 107, amended subsec. (i) generally. Prior to amendment, subsec. (i) read as follows: '(1) In a proceeding to review disciplinary action taken by a registered futures association against a member thereof or a person associated with a member, if the Commission, after appropriate notice and opportunity for hearing, upon consideration of the record before the association and such other evidence as it may deem relevant - '(A) finds that such member or person has engaged in such acts or practices, or has omitted such act, as the association has found him to have engaged in or omitted, and '(B) determines that such acts or practices, or omission to act, are in violation of such rules of the association as have been designated in the determination of the association, the Commission shall by order dismiss the proceeding, unless it appears to the Commission that such action should be modified in accordance with paragraph (2) of this subsection. The Commission shall likewise determine whether the acts or practices prohibited, or the omission of any act required, by any such rule constitute conduct inconsistent with just and equitable principles of trade, and shall so declare. If it appears to the Commission that the evidence does not warrant the finding required in clause (A), or if the Commission determines that such acts or practices as are found to have been engaged in are not prohibited by the designated rule or rules of the association, or that such act as is found to have been omitted is not required by such designated rule or rules, the Commission shall by order set aside the action of the association. '(2) If, after appropriate notice and opportunity for hearing, the Commission finds that any penalty imposed upon a member or person associated with a member is excessive or oppressive, having due regard to the public interest, the Commission shall by order cancel, reduce, or require the remission of such penalty. '(3) In any proceeding to review the denial of membership in a registered futures association or the barring of any person from being associated with a member, if the Commission, after appropriate notice and hearing, and upon consideration of the record before the association and such other evidence as it may deem relevant, determines that the specific grounds on which such denial or bar is based exist in fact and are valid under this section, the Commission shall by order dismiss the proceeding; otherwise, the Commission shall by order set aside the action of the association and require it to admit the applicant to membership therein, or to permit such person to be associated with a member.' Subsec. (j). Pub. L. 99-641, Sec. 108, struck out sentence which read as follows: 'The Commission shall approve such rules within thirty days of their receipt if Commission approval is requested under this subsection or within thirty days after the Commission determines to review for approval any other rules unless the Commission notifies the registered futures association of its inability to complete such approval or review within such period of time.' Subsec. (k)(1). Pub. L. 99-641, Sec. 110(7), substituted 'section' for 'title'. 1983 - Subsec. (b)(4)(E). Pub. L. 97-444, Sec. 233(1), inserted ', which may require the applicant to be fingerprinted and to submit, or cause to be submitted, such fingerprints to the Attorney General for identification and appropriate processing. Notwithstanding any other provision of law, such an association may receive from the Attorney General all the results of such identification and processing' after 'adopt procedures for verification of qualifications of the applicant'. Subsec. (b)(10). Pub. L. 97-444, Sec. 217(b), required association rules to provide for 'expeditious' procedure, redesignated cl. (iv) as (ii) and substituted ' 'customer' as used in this paragraph shall not include another member of the association' for ' 'customer' as used in this subsection shall not include a futures commission merchant or a floor broker', and struck out clauses '(ii) the procedure shall not be applicable to any claim in excess of $15,000, (iii) the procedure shall not result in any compulsory payment except as agreed upon between the parties,'. Subsec. (d). Pub. L. 97-444, Sec. 233(2), substituted 'section 12a(1) of this title' for 'section 12a(4) of this title'. Subsec. (h). Pub. L. 97-444, Sec. 233(3), substituted 'subsection (i) of this section' for 'subsection (k) of this section'. Subsec. (j). Pub. L. 97-444, Sec. 233(4), substituted 'A registered futures association shall submit to the Commission any change in or addition to its rules and may make such rules effective ten days after receipt of such submission by the Commission unless, within the ten-day period, the registered futures association requests review and approval thereof by the Commission or the Commission notifies such registered futures association in writing of its determination to review such rules for approval. The Commission shall approve such rules within thirty days of their receipt if Commission approval is requested under this subsection or within thirty days after the Commission determines to review for approval any other rules unless the Commission notifies the registered futures association of its inability to complete such approval or review within such period of time. The Commission shall approve such rules if such rules are determined by the Commission to be consistent with the requirements of this section and not otherwise in violation of this chapter or the regulations issued pursuant to this chapter, and the Commission shall disapprove, after appropriate notice and opportunity for hearing, any such rule which the Commission determines at any time to be inconsistent with the requirements of this section or in violation of this chapter or the regulations issued pursuant to this chapter. If the Commission does not approve or institute disapproval proceedings with respect to any rule within one hundred and eighty days after receipt or within such longer period of time as the registered futures association may agree to, or if the Commission does not conclude a disapproval proceeding with respect to any rule within one year after receipt or within such longer period as the registered futures association may agree to, such rule may be made effective by the registered futures association until such time as the Commission disapproves such rule in accordance with this subsection' for 'Any change in or addition to the rules of a registered futures association shall be submitted to the Commission for approval and shall take effect upon the thirtieth day after such approval by the Commission, or upon such earlier date as the Commission may determine, unless the Commission shall enter an order disapproving such change or addition; and the Commission shall enter such an order unless such change or addition appears to the Commission to be consistent with the requirements of this section and the provisions of this chapter'. Subsecs. (o) to (q). Pub. L. 97-444, Sec. 233(5), added subsecs. (o), (p), and (q). 1978 - Subsec. (b)(3)(B). Pub. L. 95-405, Sec. 22(1), struck out '(7 U.S.C. 9)' after 'section 9 of this title'. Subsec. (b)(10). Pub. L. 95-405, Sec. 22(2), substituted '$15,000' for '$5,000'. Subsec. (l)(1), (2)(A). Pub. L. 95-405, Sec. 22(3), substituted 'chapter' for 'section' wherever appearing. Subsecs. (m), (n). Pub. L. 95-405, Sec. 22(4), added subsec. (m) and redesignated former subsec. (m) as (n). EFFECTIVE DATE OF 1983 AMENDMENT Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section 239 of Pub. L. 97-444, set out as a note under section 2 of this title. EFFECTIVE DATE OF 1978 AMENDMENT Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28 of Pub. L. 95-405, set out as a note under section 2 of this title. EFFECTIVE DATE For effective date of section, see section 418 of Pub. L. 93-463, set out as an Effective Date of 1974 Amendment note under section 2 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 6p, 12a, 16a, 19, 25 of this title; title 15 section 78c. ------DocID 9634 Document 7 of 626------ -CITE- 7 USC CHAPTER 21 -EXPCITE- TITLE 7 CHAPTER 21 -HEAD- CHAPTER 21 - TOBACCO STATISTICS -MISC1- Sec. 501. Collection and publication; facts required; deteriorated tobacco. 502. Standards for classification; returns and blanks. 503. Reports; necessity; by whom made; penalties. 504. 'Person' defined. 505. Access to internal-revenue records. 506. Returns under oath; administration. 507. Limitation on use of statistical information. 508. Separability. 509. Reporting requirements relating to tobacco. (a) In general. (b) Special rule. (c) Scope. (d) Reports. (e) Penalty. (f) Confidentiality of information. ------DocID 11935 Document 8 of 626------ -CITE- 10 USC CHAPTER 21 -EXPCITE- TITLE 10 Subtitle A PART I CHAPTER 21 -HEAD- CHAPTER 21 - DEPARTMENT OF DEFENSE INTELLIGENCE MATTERS -MISC1- Sec. 421. Funds for foreign cryptologic support. 422. Counterintelligence official reception and representation expenses. 423. Authority to use proceeds from counterintelligence operations of the military departments. 424. Disclosure of organizational and personnel information: exemption for Defense Intelligence Agency. AMENDMENTS 1989 - Pub. L. 101-189, div. A, title XVI, Sec. 1622(c)(2), Nov. 29, 1989, 103 Stat. 1604, substituted 'Funds for foreign cryptologic support' for 'Funds for Foreign Cryptologic Support' in item 421. 1988 - Pub. L. 100-453, title VII, Sec. 701(b), 703(b), Sept. 29, 1988, 102 Stat. 1912, 1913, in item 421 substituted 'Funds for Foreign Cryptologic Support' for 'Funds transfers for foreign cryptologic support' and added item 424. 1987 - Pub. L. 100-180, div. A, title XII, Sec. 1231(3), Dec. 4, 1987, 101 Stat. 1160, substituted 'departments' for 'department' in item 423. ------DocID 14605 Document 9 of 626------ -CITE- 10 USC APPENDIX - RULES OF COURT OF MILITARY APPEALS Rule 21 -EXPCITE- TITLE 10 APPENDIX UNITED STATES COURT OF MILITARY APPEALS APPEALS -HEAD- Rule 21. Supplement to Petition for Grant of Review -STATUTE- (a) Review on petition for grant of review requires a showing of good cause. Good cause must be shown by the appellant in the supplement to the petition, which shall state with particularity the error(s) claimed to be materially prejudicial to the substantial rights of the appellant. See Article 59(a), UCMJ, 10 U.S.C. Sec. 859(a). (b) The supplement to the petition shall be filed in accordance with the applicable time limit set forth in Rule 19(a)(5)(A) or (B), shall include an Appendix required by Rule 24(a), shall conform to the provisions of Rule 24(b), (c), and (d), and shall contain: (1) A statement of the errors assigned for review by the Court; (2) A statement of the case setting forth a concise chronology, including the results of the trial, the actions of the intermediate reviewing authorities and the Court of Military Review, and any other pertinent information regarding the proceedings; (3) A statement of facts of the case material to the errors assigned, including specific page references to each relevant portion of the record of trial; (4) A direct and concise argument showing why there is good cause to grant the petition, demonstrating with particularity why the errors assigned are materially prejudicial to the substantial rights of the appellant. Where applicable, the supplement to the petition shall also indicate whether the court below has: (A) decided a question of law which has not been, but should be, settled by this Court; (B) decided a question of law in a way in conflict with applicable decisions of (i) this Court, (ii) the Supreme Court of the United States, (iii) another Court of Military Review, or (iv) another panel of the same Court of Military Review; (C) adopted a rule of law materially different from that generally recognized in the trial of criminal cases in the United States district courts; (D) decided the validity of a provision of the Uniform Code of Military Justice or other act of Congress, the Manual for Courts-Martial, a service regulation, a rule of court or a custom of the service the validity of which was directly drawn into question in that court; (E) decided the case (i) en banc or (ii) by divided vote; (F) so far departed from the accepted and usual course of judicial proceedings, or so far sanctioned such a departure by a court-martial or other person acting under the authority of the Uniform Code of Military Justice, as to call for an exercise of this Court's power of supervision; or (G) taken inadequate corrective action after remand by the Court subsequent to grant of an earlier petition in the same case and that appellant wishes to seek review from the Supreme Court of the United States; and (5) A certificate of filing and service in accordance with Rule 39(c). (c)(1) Answer/reply in Article 62, UCMJ, appeals. An appellee's answer to the supplement to the petition for grant of review in an Article 62, UCMJ, case shall be filed no later than 10 days after the filing of such supplement. A reply may be filed by the appellant no later than 5 days after the filing of the appellee's answer. (2) Answer/reply in other appeals. An appellee's answer to the supplement to the petition for grant of review in all other appeal cases may be filed no later than 30 days after the filing of such supplement, see Rule 21(e); as a discretionary alternative in the event a formal answer is deemed unwarranted, appellee may file with the Clerk of the Court a short letter, within 10 days after the filing of the appellant's supplement to the petition under Rule 21, setting forth one of the following alternative positions: (i) that the United States submits a general opposition to the assigned error(s) of law and relies on its brief filed with the Court of Military Review; or (ii) that the United States does not oppose the granting of the petition (for some specific reason, such as an error involving an unsettled area of the law). A reply may be filed by the appellant no later than 5 days after the filing of the appellee's answer. (d) The Court may, in its discretion, examine the record in any case for the purpose of determining whether there appears to be plain error not assigned by the appellant. The Court may then specify and grant review of any such errors as well as any assigned errors which merit review. (e) Where no specific errors are assigned in the supplement to the petition, the Court will proceed to review the petition without awaiting an answer thereto. See Rule 19(a)(5). (f) An appellant or counsel for an appellant may move to withdraw his petition at any time. See Rule 30. -SOURCE- (As amended Oct. 1, 1987; July 16, 1990, eff. Aug. 15, 1990.) ------DocID 14661 Document 10 of 626------ -CITE- 10 USC APPENDIX - RULES OF COURTS OF MILITARY REVIEW Rule 21 -EXPCITE- TITLE 10 APPENDIX COURTS OF MILITARY REVIEW -HEAD- Rule 21. Appeals by the United States -STATUTE- (a) Restricted Filing. Only a representative of the government designated by the Judge Advocate General of the respective service may file an appeal by the United States under Article 62. (b) Counsel. Counsel must be qualified and appointed, and give notice of appearance in accordance with these rules and those of the Judge Advocate General concerned. (c) Form of Appeal. The appeal must include those documents specified by Rule for Courts-Martial 908 and by applicable regulations of the Secretary concerned. A certificate of the Notice of Appeal described in Rule for Courts-Martial 908(b)(3) must be included. The certificate of service must reflect the date and time of the military judge's ruling or order from which the appeal is taken, and the time and date of service upon the military judge. (d) Time for Filing. All procedural Rules of the Court shall apply except as noted herein: (1) The representative of the Government designated by The Judge Advocate General shall decide whether to file the appeal with the Court of Military Review. The trial counsel shall have 20 days from the date written notice to appeal is filed with the trial Court to forward the appeal, including an original and three copies of the record of trial, to the representative of the Government designated by The Judge Advocate General. The person designated by The Judge Advocate General shall promptly file the original record with the Clerk of the Court of Military Review and forward one copy to opposing counsel. Appellate government counsel shall have 20 days (or more upon a showing of good cause made by motion for enlargement within the 20 days) from the date the record is filed with the Court to file the appeal with supporting brief with the Court of Military Review. Should the Government decide to withdraw the appeal after the record is received by the Court of Military Review, appellate government counsel shall notify in writing the Court of Military Review. Appellate brief(s) shall be prepared in the manner prescribed by Rule 15. (2) Appellee shall prepare an answer in the manner prescribed by Rule 15 and shall file such answer within 20 days after any filing of the government brief. (e) The government shall diligently prosecute all appeals by the United States and the Court will give such appeals priority over all other proceedings where practicable. -SOURCE- (As amended May 29, 1986.) ------DocID 15153 Document 11 of 626------ -CITE- 11 USC APPENDIX - BANKRUPTCY RULES Form 21 -EXPCITE- TITLE 11 APPENDIX BANKRUPTCY RULES AND OFFICIAL FORMS OFFICIAL FORMS -HEAD- Form 21. - Proof of Multiple Claims for Wages, Salary, or Commissions -STATUTE- (CAPTION AS IN FORM NO. 2) PROOF OF MULTIPLE CLAIMS FOR WAGES, SALARY, OR COMMISSIONS 1. The undersigned, XXXXXX, whose address is *XXXXXX, is the agent of the claimants listed in the statement appended to this proof of claim and is authorized to make this proof of claims on their behalf. 2. The debtor owes the claimants $XXXXX, computed as indicated in the appended statement. 3. The claimants demand priority to the extent permitted by 11 U.S.C. Sec. 507(a)(3) and (4). 4. The claimants have received no payment, no security, and no check or other evidence of this debt except as follows:XXXXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXXXXXXXXXXXXX Dated: XXXXXX Signed: XXXXXXXXXX Penalty for Presenting Fraudulent Claim. Fine of not more than $5,000 or imprisonment for not more than 5 years or both - Title 18, U.S.C., Sec. 152. Statement of Wage Claims --------------------------------------------------------------------- Name, Address, :Dates services :Contributions :Amounts Claimed & Social : rendered, : to employee : Security : rates of pay, : benefit plans : Numbers : and fringe : : : benefits : : --------------------------------------------------------------------- ------------------------------- -MISC1- NOTES OF ADVISORY COMMITTEE ON RULES This form is an alternative for Form No. 20 provided for use when there are numerous claimants for wages, salary, or commissions against a debtor's estate and they wish to have their proofs of claim executed and filed by a common agent. Use of the form should not only simplify the filing procedure for the claimants but facilitate the handling of the claims by the court. ------DocID 15188 Document 12 of 626------ -CITE- 12 USC Sec. 21 -EXPCITE- TITLE 12 CHAPTER 2 SUBCHAPTER I -HEAD- Sec. 21. Formation of national banking associations; incorporators; articles of association -STATUTE- Associations for carrying on the business of banking under title 62 of the Revised Statutes may be formed by any number of natural persons, not less in any case than five. They shall enter into articles of association, which shall specify in general terms the object for which the association is formed, and may contain any other provisions, not inconsistent with law, which the association may see fit to adopt for the regulation of its business and the conduct of its affairs. These articles shall be signed by the persons uniting to form the association, and a copy of them shall be forwarded to the Comptroller of the Currency, to be filed and preserved in his office. -SOURCE- (R.S. Sec. 5133.) -REFTEXT- REFERENCES IN TEXT Title 62 of the Revised Statutes, referred to in text, was in the original 'this Title' meaning title 62 of the Revised Statutes, consisting of R.S. Sec. 5133 to 5243, which are classified to sections 21, 22 to 24, 25a, 26 to 29, 35 to 37, 39, 51, 52, 53, 56, 57, 59 to 62, 66, 71, 72 to 76, 81 to 91, 93, 93a, 94, 101a, 102, 104, 107 to 110, 123, 124, 131 to 138, 141 to 144, 151, 152, 161, 164, 168 to 175, 181 to 186, 192 to 196, 481 to 485, 501, 541, 548, and 582 of this title. See, also, sections 8, 333, 334, 475, 656, 709, 1004, and 1005 of Title 18, Crimes and Criminal Procedure. For complete classification of R.S. Sec. 5133 to 5243 to the Code, see Tables. -COD- CODIFICATION R.S. Sec. 5133 derived from act June 3, 1864, ch. 106, Sec. 5, 13 Stat. 100, which was the National Bank Act. See section 38 of this title. -TRANS- EXCEPTION AS TO TRANSFER OF FUNCTIONS Functions vested by any provision of law in Comptroller of the Currency, referred to in this section, not included in transfer of functions to Secretary of the Treasury, see note set out under section 1 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 153 of this title. ------DocID 16221 Document 13 of 626------ -CITE- 12 USC Sec. 1749bbb-21 -EXPCITE- TITLE 12 CHAPTER 13 SUBCHAPTER IX-C Part D -HEAD- Sec. 1749bbb-21. Authorization of appropriations -STATUTE- There are hereby authorized to be appropriated such sums as may be necessary to carry out this subchapter. -SOURCE- (June 27, 1934, ch. 847, title XII, Sec. 1251, formerly Sec. 1241, as added Aug. 1, 1968, Pub. L. 90-448, title XI, Sec. 1103, 82 Stat. 566, and renumbered Dec. 31, 1970, Pub. L. 91-609, title VI, Sec. 602(d), 84 Stat. 1789.) ------DocID 16380 Document 14 of 626------ -CITE- 12 USC CHAPTER 21 -EXPCITE- TITLE 12 CHAPTER 21 -HEAD- CHAPTER 21 - FINANCIAL RECORDKEEPING -MISC1- Sec. 1951. Congressional findings and declaration of purpose. 1952. Reports on ownership and control. 1953. Recordkeeping and procedures. 1954. Injunctions. 1955. Civil penalties 1956. Criminal penalty. 1957. Additional criminal penalty in certain cases. 1958. Compliance. 1959. Administrative procedure. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in section 3401 of this title; title 31 section 5318. ------DocID 16997 Document 15 of 626------ -CITE- 13 USC Sec. 21 -EXPCITE- TITLE 13 CHAPTER 1 SUBCHAPTER II -HEAD- Sec. 21. Director of the Census; duties -STATUTE- The Bureau shall be headed by a Director of the Census, appointed by the President, by and with the advice and consent of the Senate. The Director shall perform such duties as may be imposed upon him by law, regulations, or orders of the Secretary. -SOURCE- (Aug. 31, 1954, ch. 1158, 68 Stat. 1014.) -MISC1- HISTORICAL AND REVISION NOTES Based on title 13, U.S.C., 1952 ed., Sec. 2 (Mar. 6, 1902, ch. 139, Sec. 3, 32 Stat. 51; June 18, 1929, ch. 28, Sec. 21, 46 Stat. 26). The provision of section 2 of title 13, U.S.C., 1952 ed., which imposed upon the Director the duty to superintend and direct the taking of censuses of the United States was omitted in view of 1950 Reorganization Plan No. 5, effective May 24, 1950, 15 F.R. 3174, 64 Stat. 1263, which transferred all functions of all officers, employees, bureaus, and agencies of the Department of Commerce to the Secretary of Commerce, and this title, as revised, vests such duty in the Secretary. However, under section 4 of this title, he may delegate his functions hereunder. 'Bureau' was substituted for 'permanent Census Office'. See Revision Note to section 2 of this title. At the end of this section, references to regulations, and to orders of the Secretary, were added after 'law' in view of the changes effected by 1950 Reorganization Plan No. 5, referred to above. Changes were made in phraseology. -CROSS- CROSS REFERENCES Collection and publication of foreign commerce and trade statistics, applicability of section to, see section 307 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 307 of this title. ------DocID 17350 Document 16 of 626------ -CITE- 14 USC CHAPTER 21 -EXPCITE- TITLE 14 PART II CHAPTER 21 -HEAD- CHAPTER 21 - COAST GUARD RESERVE -MISC1- SUBCHAPTER A GENERAL Sec. 701. Organization. 702. Authorized strength. 703. Coast Guard Reserve Boards. 704. Grades and ratings; military authority. 705. Benefits. 706. Temporary members of the Reserve; eligibility and compensation. 707. Temporary members of the Reserve; disability or death benefits. 708. Temporary members of the Reserve; certificate of honorable service. 709. Reserve student aviation pilots; reserve aviation pilots; appointments in commissioned grade. 710. Appointment or wartime promotion; retention of grade upon release from active duty. 711. Exclusiveness of service. 712. Active duty for emergency augmentation of regular forces. 713. Enlistment of members engaged in schooling. SUBCHAPTER B COMMISSIONED OFFICERS 720. Definitions. 721. Applicability of this subchapter. 722. Suspension of this subchapter in time of war or national emergency. 723. Effect of this subchapter on retirement and retired pay. 724. Authorized number of officers. 725. Precedence. 726. Running mates. 727. Constructive credit upon initial appointment. 728. Promotion of Reserve officers on active duty. 729. Promotion; recommendations of selection boards. 730. Selection boards; appointment. 731. Placement in promotion zone; consideration for promotion. 732. Eligibility for promotion. 733. Recommendation for promotion of an officer previously removed from an active status. 734. Qualifications for promotion. 735. Promotion; acceptance; oath of office. 736. Date of rank upon promotion; entitlement to pay. 737. Type of promotion; temporary. 738. Effect of removal by the President or failure of consent of the Senate. 739. Failure of selection for promotion. 740. Failure of selection and removal from active status. 741. Retention boards; removal from an active status to provide a flow of promotion. 742. Maximum ages for retention in an active status. 743. Rear admiral and rear admiral (lower half); maximum service in grade. 744. Appointment of a former Navy or Coast Guard officer. 745. Grade on entry upon active duty. 746. Recall of a retired officer; grade upon release. AMENDMENTS 1985 - Pub. L. 99-145, title V, Sec. 514(c)(3)(B), Nov. 8, 1985, 99 Stat. 629, substituted 'rear admiral (lower half)' for 'commodore' in item 743. 1983 - Pub. L. 97-417, Sec. 2(17)(B), Jan. 4, 1983, 96 Stat. 2087, inserted 'and commodore' after 'Rear admiral' in item 743. 1982 - Pub. L. 97-295, Sec. 2(22), Oct. 12, 1982, 96 Stat. 1303, inserted 'previously removed from an active status' in item 733. 1981 - Pub. L. 97-136, Sec. 6(c)(3), Dec. 29, 1981, 95 Stat. 1706, substituted 'Exclusiveness of service' for 'Exemption from military training and draft; exclusiveness of service' in item 711. 1980 - Pub. L. 96-322, Sec. 1, Aug. 4, 1980, 94 Stat. 1002, revised analysis generally by adding items 701 to 713 and 720 to 746, and by omitting items 751 to 765, undesignated center heading 'Commissioned Officers' following item 765, and items 770 to 798. 1974 - Pub. L. 93-283, Sec. 1(14), May 14, 1974, 88 Stat. 141, added items 765 and 796 to 798. 1972 - Pub. L. 92-479, Sec. 2, Oct. 9, 1972, 86 Stat. 795, added item 764. 1962 - Pub. L. 87-704, Sec. 1(b), Sept. 27, 1962, 76 Stat. 633, added item 763. Pub. L. 87-649, Sec. 7(d), Sept. 7, 1962, 76 Stat. 495, substituted 'Benefits' for 'Pay, allowances, and other benefits' in item 755. 1960 - Pub. L. 86-559, Sec. 2(4), June 30, 1960, 74 Stat. 281, added item 787a. 1958 - Pub. L. 85-861, Sec. 5(3), Sept. 2, 1958, 72 Stat. 1555, added heading 'Commissioned Officers' and items 770 to 795. 1956 - Act Aug. 10, 1956, ch. 1041, Sec. 15(b), 16(b), 70A Stat. 625, 626, added items 751a, 752a, 753a, 758a, and 759a. -SECREF- CHAPTER REFERRED TO IN OTHER SECTIONS This chapter is referred to in title 10 sections 1005, 1006. ------DocID 17462 Document 17 of 626------ -CITE- 15 USC Sec. 21 -EXPCITE- TITLE 15 CHAPTER 1 -HEAD- Sec. 21. Enforcement provisions -STATUTE- (a) Commission, Board, or Secretary authorized to enforce compliance Authority to enforce compliance with sections 13, 14, 18, and 19 of this title by the persons respectively subject thereto is vested in the Interstate Commerce Commission where applicable to common carriers subject to subtitle IV of title 49; in the Federal Communications Commission where applicable to common carriers engaged in wire or radio communication or radio transmission of energy; in the Secretary of Transportation where applicable to air carriers and foreign air carriers subject to the Federal Aviation Act of 1958 (49 App. U.S.C. 1301 et seq.); in the Board of Governors of the Federal Reserve System where applicable to banks, banking associations, and trust companies; and in the Federal Trade Commission where applicable to all other character of commerce to be exercised as follows: (b) Issuance of complaints for violations; hearing; intervention; filing of testimony; report; cease and desist orders; reopening and alteration of reports or orders Whenever the Commission, Board, or Secretary vested with jurisdiction thereof shall have reason to believe that any person is violating or has violated any of the provisions of sections 13, 14, 18, and 19 of this title, it shall issue and serve upon such person and the Attorney General a complaint stating its charges in that respect, and containing a notice of a hearing upon a day and at a place therein fixed at least thirty days after the service of said complaint. The person so complained of shall have the right to appear at the place and time so fixed and show cause why an order should not be entered by the Commission, Board, or Secretary requiring such person to cease and desist from the violation of the law so charged in said complaint. The Attorney General shall have the right to intervene and appear in said proceeding and any person may make application, and upon good cause shown may be allowed by the Commission, Board, or Secretary, to intervene and appear in said proceeding by counsel or in person. The testimony in any such proceeding shall be reduced to writing and filed in the office of the Commission, Board, or Secretary. If upon such hearing the Commission, Board, or Secretary, as the case may be, shall be of the opinion that any of the provisions of said sections have been or are being violated, it shall make a report in writing, in which it shall state its findings as to the facts, and shall issue and cause to be served on such person an order requiring such person to cease and desist from such violations, and divest itself of the stock, or other share capital, or assets, held or rid itself of the directors chosen contrary to the provisions of sections 18 and 19 of this title, if any there be, in the manner and within the time fixed by said order. Until the expiration of the time allowed for filing a petition for review, if no such petition has been duly filed within such time, or, if a petition for review has been filed within such time then until the record in the proceeding has been filed in a court of appeals of the United States, as hereinafter provided, the Commission, Board, or Secretary may at any time, upon such notice and in such manner as it shall deem proper, modify or set aside, in whole or in part, any report or any order made or issued by it under this section. After the expiration of the time allowed for filing a petition for review, if no such petition has been duly filed within such time, the Commission, Board, or Secretary may at any time, after notice and opportunity for hearing, reopen and alter, modify, or set aside, in whole or in part, any report or order made or issued by it under this section, whenever in the opinion of the Commission, Board, or Secretary conditions of fact or of law have so changed as to require such action or if the public interest shall so require: Provided, however, That the said person may, within sixty days after service upon him or it of said report or order entered after such a reopening, obtain a review thereof in the appropriate court of appeals of the United States, in the manner provided in subsection (c) of this section. (c) Review of orders; jurisdiction; filing of petition and record of proceeding; conclusiveness of findings; additional evidence; modification of findings; finality of judgment and decree Any person required by such order of the commission, board, or Secretary to cease and desist from any such violation may obtain a review of such order in the court of appeals of the United States for any circuit within which such violation occurred or within which such person resides or carries on business, by filing in the court, within sixty days after the date of the service of such order, a written petition praying that the order of the commission, board, or Secretary be set aside. A copy of such petition shall be forthwith transmitted by the clerk of the court to the commission, board, or Secretary, and thereupon the commission, board, or Secretary shall file in the court the record in the proceeding, as provided in section 2112 of title 28. Upon such filing of the petition the court shall have jurisdiction of the proceeding and of the question determined therein concurrently with the commission, board, or Secretary until the filing of the record, and shall have power to make and enter a decree affirming, modifying, or setting aside the order of the commission, board, or Secretary, and enforcing the same to the extent that such order is affirmed, and to issue such writs as are ancillary to its jurisdiction or are necessary in its judgment to prevent injury to the public or to competitors pendente lite. The findings of the commission, board, or Secretary as to the facts, if supported by substantial evidence, shall be conclusive. To the extent that the order of the commission, board, or Secretary is affirmed, the court shall issue its own order commanding obedience to the terms of such order of the commission, board, or Secretary. If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the commission, board, or Secretary, the court may order such additional evidence to be taken before the commission, board, or Secretary, and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The commission, board, or Secretary may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken, and shall file such modified or new findings, which if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside of its original order, with the return of such additional evidence. The judgment and decree of the court shall be final, except that the same shall be subject to review by the Supreme Court upon certiorari, as provided in section 1254 of title 28. (d) Exclusive jurisdiction of Court of Appeals Upon the filing of the record with its jurisdiction of the court of appeals to affirm, enforce, modify, or set aside orders of the commission, board, or Secretary shall be exclusive. (e) Liability under antitrust laws No order of the commission, board, or Secretary or judgment of the court to enforce the same shall in anywise relieve or absolve any person from any liability under the antitrust laws. (f) Service of complaints, orders and other processes Complaints, orders, and other processes of the commission, board, or Secretary under this section may be serviced by anyone duly authorized by the commission, board, or Secretary, either (1) by delivering a copy thereof to the person to be served, or to a member of the partnership to be served, or to the president, secretary, or other executive officer or a director of the corporation to be served; or (2) by leaving a copy thereof at the residence or the principal office or place of business of such person; or (3) by mailing by registered or certified mail a copy thereof addressed to such person at his or its residence or principal office or place of business. The verified return by the person so serving said complaint, order, or other process setting forth the manner of said service shall be proof of the same, and the return post office receipt for said complaint, order, or other process mailed by registered or certified mail as aforesaid shall be proof of the service of the same. (g) Finality of orders generally Any order issued under subsection (b) of this section shall become final - (1) upon the expiration of the time allowed for filing a petition for review, if no such petition has been duly filed within such time; but the commission, board, or Secretary may thereafter modify or set aside its order to the extent provided in the last sentence of subsection (b) of this section; or (2) upon the expiration of the time allowed for filing a petition for certiorari, if the order of the commission, board, or Secretary has been affirmed, or the petition for review has been dismissed by the court of appeals, and no petition for certiorari has been duly filed; or (3) upon the denial of a petition for certiorari, if the order of the commission, board, or Secretary has been affirmed or the petition for review has been dismissed by the court of appeals; or (4) upon the expiration of thirty days from the date of issuance of the mandate of the Supreme Court, if such Court directs that the order of the commission, board, or Secretary be affirmed or the petition for review be dismissed. (h) Finality of orders modified by Supreme Court If the Supreme Court directs that the order of the commission, board, or Secretary be modified or set aside, the order of the commission, board, or Secretary rendered in accordance with the mandate of the Supreme Court shall become final upon the expiration of thirty days from the time it was rendered, unless within such thirty days either party has instituted proceedings to have such order corrected to accord with the mandate, in which event the order of the commission, board, or Secretary shall become final when so corrected. (i) Finality of orders modified by Court of Appeals If the order of the commission, board, or Secretary is modified or set aside by the court of appeals, and if (1) the time allowed for filing a petition for certiorari has expired and no such petition has been duly filed, or (2) the petition for certiorari has been denied, or (3) the decision of the court has been affirmed by the Supreme Court then the order of the commission, board, or Secretary rendered in accordance with the mandate of the court of appeals shall become final on the expiration of thirty days from the time such order of the commission, board, or Secretary was rendered, unless within such thirty days either party has instituted proceedings to have such order corrected so that it will accord with the mandate, in which event the order of the commission, board, or Secretary shall become final when so corrected. (j) Finality of orders issued on rehearing ordered by Court of Appeals or Supreme Court If the Supreme Court orders a rehearing; or if the case is remanded by the court of appeals to the commission, board, or Secretary for a rehearing, and if (1) the time allowed for filing a petition for certiorari has expired, and no such petition has been duly filed, or (2) the petition for certiorari has been denied, or (3) the decision of the court has been affirmed by the Supreme Court, then the order of the commission, board, or Secretary rendered upon such rehearing shall become final in the same manner as though no prior order of the commission, board, or Secretary had been rendered. (k) 'Mandate' defined As used in this section the term 'mandate', in case a mandate has been recalled prior to the expiration of thirty days from the date of issuance thereof, means the final mandate. (l) Penalties Any person who violates any order issued by the commission, board, or Secretary under subsection (b) of this section after such order has become final, and while such order is in effect, shall forfeit and pay to the United States a civil penalty of not more than $5,000 for each violation, which shall accrue to the United States and may be recovered in a civil action brought by the United States. Each separate violation of any such order shall be a separate offense, except that in the case of a violation through continuing failure or neglect to obey a final order of the commission, board, or Secretary each day of continuance of such failure or neglect shall be deemed a separate offense. -SOURCE- (Oct. 15, 1914, ch. 323, Sec. 11, 38 Stat. 734; June 19, 1934, ch. 652, title VII, Sec. 702(d), formerly title VI, Sec. 602(d), 48 Stat. 1102, renumbered Oct. 30, 1984, Pub. L. 98-549, Sec. 6(a), 98 Stat. 2804; Aug. 23, 1935, ch. 614, Sec. 203(a), 49 Stat. 704; June 23, 1938, ch. 601, Sec. 1107(g), 52 Stat. 1028; June 25, 1948, ch. 646, Sec. 32(a), 62 Stat. 991; May 24, 1949, ch. 139, Sec. 127, 63 Stat. 107; Dec. 29, 1950, ch. 1184, 64 Stat. 1125; Aug. 23, 1958, Pub. L. 85-726, title XIV, Sec. 1401(b), 72 Stat. 806; Aug. 28, 1958, Pub. L. 85-791, Sec. 4, 72 Stat. 943; July 23, 1959, Pub. L. 86-107, Sec. 1, 73 Stat. 243; Oct. 4, 1984, Pub. L. 98-443, Sec. 9(m), 98 Stat. 1708; Nov. 8, 1984, Pub. L. 98-620, title IV, Sec. 402(10)(B), 98 Stat. 3358.) -REFTEXT- REFERENCES IN TEXT The Federal Aviation Act of 1958, referred to in subsec. (a), is Pub. L. 85-726, Aug. 23, 1958, 72 Stat. 731, as amended, which is classified principally to chapter 20 (Sec. 1301 et seq.) of Title 49, Appendix, Transportation. For complete classification of this Act to the Code, see Short Title note set out under section 1301 of Title 49, Appendix, and Tables. The antitrust laws, referred to in subsec. (e), are defined in section 12 of this title. -COD- CODIFICATION 'Subtitle IV of title 49' was substituted in subsec. (a) for 'the Interstate Commerce Act, as amended' on authority of Pub. L. 95-473, Sec. 3(b), Oct. 17, 1978, 92 Stat. 1466, the first section of which enacted subtitle IV of Title 49, Transportation. -MISC3- AMENDMENTS 1984 - Subsec. (a). Pub. L. 98-443, Sec. 9(m)(1), substituted 'Secretary of Transportation where applicable to air carriers and foreign air carriers subject to the Federal Aviation Act of 1958' for 'Civil Aeronautics Board where applicable to air carriers and foreign air carriers subject to the Civil Aeronautics Act of 1938'. Subsec. (b). Pub. L. 98-443, Sec. 9(m)(2), substituted 'Commission, Board, or Secretary' for 'Commission or Board' wherever appearing. Subsecs. (c), (d). Pub. L. 98-443, Sec. 9(m)(3), substituted 'commission, board, or Secretary' for 'commission or board' wherever appearing. Subsec. (e). Pub. L. 98-620 struck out provision that such proceedings in the court of appeals had to be given precedence over other cases pending therein, and had to be in every way expedited. Pub. L. 98-443, Sec. 9(m)(3), substituted 'commission, board, or Secretary' for 'commission or board'. Subsecs. (f) to (j), (l). Pub. L. 98-443, Sec. 9(m)(3), substituted 'commission, board, or Secretary' for 'commission or board' wherever appearing. 1959 - Pub. L. 86-107 amended section generally, and among other changes, authorized the Commission or Board, upon notice and opportunity for hearing, in cases where a petition for review has not been filed within the time allowed, to reopen and alter, modify, or set aside, in whole or in part, any report or order, whenever conditions of fact or law have so changed as to require such action or if the public interest so requires, and added subsecs. (g) to (k), providing for finality of orders, and subsec. (l), prescribing the civil penalty for violation of orders. 1958 - Pub. L. 85-791, Sec. 4(a), struck out 'a transcript of' after 'Until' in last sentence of second par. Pub. L. 85-791, Sec. 4(b), substituted in first sentence of third par., 'file the record in the proceeding, as provided in section 2112 of title 28' for 'certify and file with its application a transcript of the entire record in the proceeding, including all the testimony taken and the report and order of the Commission or Board', and in second sentence of third par., struck out 'and transcript' after 'application', inserted 'concurrently with the Commission or Board until the filing of the record', and struck out 'upon the pleadings, testimony, and proceedings set forth in such transcript' after 'make and enter'. Pub. L. 85-791, Sec. 4(c), substituted in second sentence of fourth par., 'transmitted by the clerk of the court to' for 'served upon' and 'shall file in the court the record in the proceeding, as provided in section 2112 of title 28' for 'forthwith shall certify and file in the court a transcript of the record in the proceeding, as hereinbefore provided', and in third sentence of fourth paragraph substituted 'such petition' for 'the transcript' and inserted 'determined as provided in section 1009(e) of title 5,'. Pub. L. 85-791, Sec. 4(d), substituted in fifth par., 'Upon the filing of the record with it the' for 'The'. 1950 - Act Dec. 29, 1950, amended section generally to allow the Attorney General to intervene and appear in any proceeding brought by any Commission or Board to enforce sections 13, 14, 18, and 19 of this title, but the amendment in nowise affects the jurisdiction of the Department of Justice to enforce these sections in the courts. 1938 - Act June 23, 1938, inserted 'in the Civil Aeronautics Authority where applicable to air carriers and foreign air carriers subject to the Civil Aeronautics Act of 1938', and 'authority' after 'commission' wherever appearing. 1935 - Act Aug. 23, 1935, changed the name of Federal Reserve Board to Board of Governors of the Federal Reserve System. 1934 - Act June 19, 1934, amended first par. -CHANGE- CHANGE OF NAME Act June 25, 1948, eff. Sept. 1, 1948, as amended by act May 24, 1949, substituted 'court of appeals' for 'circuit court of appeals'. -MISC4- EFFECTIVE DATE OF 1984 AMENDMENTS Amendment by Pub. L. 98-620 not applicable to cases pending on Nov. 8, 1984, see section 403 of Pub. L. 98-620, set out as an Effective Date note under section 1657 of Title 28, Judiciary and Judicial Procedure. Amendment by Pub. L. 98-443 effective Jan. 1, 1985, see section 9(v) of Pub. L. 98-443, set out as a note under section 5314 of Title 5, Government Organization and Employees. EFFECTIVE DATE OF 1959 AMENDMENT Section 2 of Pub. L. 86-107 provided that: 'The amendments made by section 1 (amending this section) shall have no application to any proceeding initiated before the date of enactment of this Act (July 23, 1959) under the third or fourth paragraph of section 11 of the Act entitled 'An Act to supplement existing laws against unlawful restraints and monopolies, and for other purposes', approved October 15, 1914 (38 Stat. 734, as amended; 15 U.S.C. 21) (this section). Each such proceeding shall be governed by the provisions of such section as they existed on the day preceding the date of enactment of this Act.' -TRANS- TRANSFER OF FUNCTIONS Functions, powers, and duties of Civil Aeronautics Board under this section transferred to Secretary of Transportation by section 1553(a)(4) of Title 49, Appendix, Transportation, effective Jan. 1, 1985. For transfer of functions of Federal Trade Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 8 of 1950, Sec. 1, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1264, set out under section 41 of this title. -CROSS- CROSS REFERENCES Jurisdiction and powers of Federal Trade Commission, see sections 45 and 46 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in section 21a of this title; title 49 App. section 1553. ------DocID 17763 Document 18 of 626------ -CITE- 15 USC Sec. 80a-21 -EXPCITE- TITLE 15 CHAPTER 2D SUBCHAPTER I -HEAD- Sec. 80a-21. Loans by management companies -STATUTE- It shall be unlawful for any registered management company to lend money or property to any person, directly or indirectly, if - (a) the investment policies of such registered company, as recited in its registration statement and reports filed under this subchapter, do not permit such a loan; or (b) such person controls or is under common control with such registered company; except that the provisions of this paragraph shall not apply to any loan from a registered company to a company which owns all of the outstanding securities of such registered company, except directors' qualifying shares. -SOURCE- (Aug. 22, 1940, ch. 686, title I, Sec. 21, 54 Stat. 822; Dec. 4, 1987, Pub. L. 100-181, title VI, Sec. 615, 101 Stat. 1262.) -MISC1- AMENDMENTS 1987 - Subsec. (b). Pub. L. 100-181 struck out 'to the extension or renewal of any such loan made prior to March 15, 1940, or' after 'shall not apply'. -CROSS- CROSS REFERENCES Unlawful transactions for registered investment companies, see section 80a-17 of this title. -SECREF- SECTION REFERRED TO IN OTHER SECTIONS This section is referred to in sections 80a-6, 80a-17, 80a-56, 80a-61 of this title. ------DocID 17831 Document 19 of 626------ -CITE- 15 USC Sec. 80b-21 -EXPCITE- TITLE 15 CHAPTER 2D SUBCHAPTER II -HEAD- Sec. 80b-21. Effective date -STATUTE- This subchapter shall become effective on November 1, 1940. -SOURCE- (Aug. 22, 1940, ch. 686, title II, Sec. 221, 54 Stat. 857.) ------DocID 18350 Document 20 of 626------ -CITE- 15 USC CHAPTER 21 -EXPCITE- TITLE 15 CHAPTER 21 -HEAD- CHAPTER 21 - NATIONAL POLICY ON EMPLOYMENT AND PRODUCTIVITY -MISC1- Sec. 1021. Congressional declarations. (a) Generally. (b) Full opportunities for employment. (c) Inflation. (d) Coordination of Federal policies and programs. (e) Federal controls. (f) Expansion of private employment. (g) Trade deficits. (h) Balanced Federal budget. (i) Investment needs of private enterprise. (j) Reliance on private sector. 1022. Economic Report of President; coverage; supplementary reports; reference to Congressional joint committee; percentage rate of unemployment; definitions. (a) Time of submission; contents. (b) Supplementary reports. (c) Referral to joint committee. (d) Rate of unemployment. (e) 'Inflation'; 'prices'; 'reasonable price stability' defined. 1022a. Medium-term economic goals and policies respecting full employment and balanced growth. (a) Incorporation of necessary programs and policies. (b) Interim numerical goals for initial Economic Reports. (c) Achievement of full employment, balanced budget, zero inflation rate, and 20 per centum level of Federal outlays as a proportion of gross national product for succeeding Economic Reports. (d) Review by President; report to Congress; modification of timetables. (e) Interim numerical goals for succeeding Economic Reports. (f) Action taken to reduce unemployment. (g) Definitions. 1022b. Presentation of analysis respecting short-term and medium-term goals in Economic Report of President; mutually reinforcing means. (a) Analysis of goals. (b) Means to achieve goals. 1022c. Inclusion of priority policies and programs in President's Budget. 1022d. President's Budget. (a) Recommendations. (b) Five-year projections of outlays and receipts. (c) Inclusion in Economic Report of President; purposeful development of expenditure and revenue elements; considerations governing de