The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 2000 The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. |
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Página 12
... applicant for registra- tion as an introducing broker on behalf of an introducing broker or applicant for registration introducing broker in satisfaction of the alter- native adjusted net capital require- ment set forth in §1.17 ( a ) ...
... applicant for registra- tion as an introducing broker on behalf of an introducing broker or applicant for registration introducing broker in satisfaction of the alter- native adjusted net capital require- ment set forth in §1.17 ( a ) ...
Página 13
... applicant therefor shall be deemed to be a ref- erence to Form 1 - FR - FCM . Except as otherwise provided , an introducing broker or an applicant for registration as an introducing broker , in order to satisfy any requirement in this ...
... applicant therefor shall be deemed to be a ref- erence to Form 1 - FR - FCM . Except as otherwise provided , an introducing broker or an applicant for registration as an introducing broker , in order to satisfy any requirement in this ...
Página 15
... applicant for registration in either cat- egory , must be filed in paper form and may not be filed electronically . ( 3 ) The provisions of paragraphs ( b ) ( 1 ) and ( b ) ( 2 ) of this section may be met by any person registered as a ...
... applicant for registration in either cat- egory , must be filed in paper form and may not be filed electronically . ( 3 ) The provisions of paragraphs ( b ) ( 1 ) and ( b ) ( 2 ) of this section may be met by any person registered as a ...
Página 16
... applicant for reg- istration will be considered filed when received by the National Futures Asso- ciation and by the regional office of the Commission nearest the principal place of business of the applicant ( except that an applicant ...
... applicant for reg- istration will be considered filed when received by the National Futures Asso- ciation and by the regional office of the Commission nearest the principal place of business of the applicant ( except that an applicant ...
Página 17
... applicant filing pursuant to paragraph ( a ) ( 2 ) of this section the period must be the year ending as of the date ... applicant's or registrant's cor- responding uncertified most recent Form 1 - FR filing when material dif- ferences ...
... applicant filing pursuant to paragraph ( a ) ( 2 ) of this section the period must be the year ending as of the date ... applicant's or registrant's cor- responding uncertified most recent Form 1 - FR filing when material dif- ferences ...
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Términos y frases comunes
accordance action Administrative Law Judge agency agreement amended appeal applicant or registrant associated person authority board of trade business day cash ceeding chant chapter claim clude Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number copy customer funds Director disciplinary disclosure documents employee exemption Federal fees filed floor broker floor trader foreign futures futures commission merchant futures contract graph hearing introducing broker leverage contract leverage customer leverage transaction merchant ment mission modity National Futures Association notice Office option contract option customer option transaction otherwise Ownership Equity party petition prior procedures Proceedings Clerk purchase put option records regulations request revised rules securities segregated self-regulatory organization sion specified statement strike price suant submitted subordination agreement Subpart thereof tion tomer tract market trans unless
Pasajes populares
Página 274 - In computing any period of time prescribed or allowed by these rules, by order of court, or by any applicable statute, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, a Sunday, or a legal holiday...
Página 447 - ... (B) statements of the general course and method by which its functions are channeled and determined, including the nature and requirements of all formal and informal procedures available; (C) rules of procedure, descriptions of forms available or the places at which forms may be obtained and instructions as to the scope and contents of all papers, reports, or examinations...
Página 349 - ... (1) to employ any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or...
Página 257 - Supporting and opposing affidavits shall be made on personal knowledge, shall set forth such facts as would be admissible in evidence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein. Sworn or certified copies of all papers or parts thereof referred to in an affidavit shall be attached thereto or served therewith. The court may permit affidavits to be supplemented or opposed by depositions or by further affidavits.
Página 250 - All objections made at the time of the examination to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the officer upon the deposition. Evidence objected to shall be taken subject to the objections.
Página 288 - The answer shall specifically deny the matter or set forth in detail the reasons why the answering party cannot truthfully admit or deny the matter. A denial shall fairly meet the substance of the requested admission, and when good faith requires that a party qualify...
Página 474 - ... participation in a civil action or proceeding, an action in a foreign court or international tribunal, or an arbitration, or the initiation, conduct, or disposition by the...
Página 253 - That in any court of the United States and in any court established by Act of Congress, any writing or record, whether in the form of an entry in a book or otherwise, made as a memorandum or record of any act, transaction, occurrence, or event...
Página 250 - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.
Página 311 - The required publication or service of a substantive rule shall be made not less than 30 days before its effective date...