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 5
... TRADING IN COMMODITY OPTIONS 1.19 Prohibited trading in certain " puts " and " calls " . CUSTOMERS ' MONEY , SECURITIES , AND PROPERTY 1.20 Customer funds to be segregated and separately accounted for . 1.21 Care of money and equities ...
... TRADING IN COMMODITY OPTIONS 1.19 Prohibited trading in certain " puts " and " calls " . CUSTOMERS ' MONEY , SECURITIES , AND PROPERTY 1.20 Customer funds to be segregated and separately accounted for . 1.21 Care of money and equities ...
Página 9
... trading and position limits in effect pursuant to section 4a of the Act , unless the provisions of para- graphs ( z ) ( 2 ) and ( 3 ) of this section and §§1.47 and 1.48 of the regulations have been satisfied . ( 2 ) Enumerated hedging ...
... trading and position limits in effect pursuant to section 4a of the Act , unless the provisions of para- graphs ( z ) ( 2 ) and ( 3 ) of this section and §§1.47 and 1.48 of the regulations have been satisfied . ( 2 ) Enumerated hedging ...
Página 73
... trading cards must record such pur- chases and sales in exact chronological order of execution on sequential lines of the trading card without skipping lines between trades ; Provided , how- ever ; That if lines remain after the last ...
... trading cards must record such pur- chases and sales in exact chronological order of execution on sequential lines of the trading card without skipping lines between trades ; Provided , how- ever ; That if lines remain after the last ...
Página 74
... trade , whether such person : ( 1 ) Was trading for his own account , or an account for which he has discre- tion ; ( 2 ) Was trading for his clearing mem- ber's house account ; ( 3 ) Was trading for another member present on the ...
... trade , whether such person : ( 1 ) Was trading for his own account , or an account for which he has discre- tion ; ( 2 ) Was trading for his clearing mem- ber's house account ; ( 3 ) Was trading for another member present on the ...
Página 75
... Trading cards collected pursuant to this paragraph must be timestamped promptly to the nearest minute upon collection by either the contract mar- ket or relevant clearing member . ( 3 ) A member of the contract market must use a new trading ...
... Trading cards collected pursuant to this paragraph must be timestamped promptly to the nearest minute upon collection by either the contract mar- ket or relevant clearing member . ( 3 ) A member of the contract market must use a new trading ...
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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...