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 16
... received by the re- gional office of the Commission nearest the principal place of business of the registrant ( except that a registrant under the jurisdiction of the Commis- sion's Western Regional Office must file such reports with ...
... received by the re- gional office of the Commission nearest the principal place of business of the registrant ( except that a registrant under the jurisdiction of the Commis- sion's Western Regional Office must file such reports with ...
Página 18
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) ( i ) , ( b ) ( 2 ) ( i ) or ( b ) ( 4 ) of this section or §1.12 ( b ) for filing the report . Notice of such appli- cation must be given to the designated ...
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) ( i ) , ( b ) ( 2 ) ( i ) or ( b ) ( 4 ) of this section or §1.12 ( b ) for filing the report . Notice of such appli- cation must be given to the designated ...
Página 31
... receiving written notice from any representative of the Com- mission and within the time period specified in the written ... received by the regional office of the Commission with whom the futures commission files financial reports pur ...
... receiving written notice from any representative of the Com- mission and within the time period specified in the written ... received by the regional office of the Commission with whom the futures commission files financial reports pur ...
Página 37
... received by the principal of- fice of the Commission in Washington , DC and by the designated self - regu- latory organization , if any , prior to the date on which the report is due ; and ( vii ) Be accompanied by a letter from the ...
... received by the principal of- fice of the Commission in Washington , DC and by the designated self - regu- latory organization , if any , prior to the date on which the report is due ; and ( vii ) Be accompanied by a letter from the ...
Página 59
... received customer funds for deposit in a segregated account , as pro- vided in this section , may hold , dispose of , or use any such funds as belonging to any person other than the option or commodity customers of the futures ...
... received customer funds for deposit in a segregated account , as pro- vided in this section , may hold , dispose of , or use any such funds as belonging to any person other than the option or commodity customers of the futures ...
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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...