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 6
... unless otherwise noted . DEFINITIONS §1.1 Words in singular and plural form . Words used in the singular form in the rules and regulations in this part shall be deemed to import the plural , and vice versa , as the case may require ...
... unless otherwise noted . DEFINITIONS §1.1 Words in singular and plural form . Words used in the singular form in the rules and regulations in this part shall be deemed to import the plural , and vice versa , as the case may require ...
Página 9
... unless their purpose is to offset price risks inci- dental to commercial cash or spot op- erations and such positions are estab- lished and liquidated in an orderly manner in accordance with sound com- mercial practices and , for ...
... unless their purpose is to offset price risks inci- dental to commercial cash or spot op- erations and such positions are estab- lished and liquidated in an orderly manner in accordance with sound com- mercial practices and , for ...
Página 26
... unless otherwise indicated . ( 2 ) Every notice and written report which an introducing broker or appli- cant for registration as an introducing broker is required to give or file by paragraphs ( a ) , ( c ) and ( d ) of this sec- tion ...
... unless otherwise indicated . ( 2 ) Every notice and written report which an introducing broker or appli- cant for registration as an introducing broker is required to give or file by paragraphs ( a ) , ( c ) and ( d ) of this sec- tion ...
Página 39
... unless such person affirma- tively demonstrates to the satisfaction of the National Futures Association that it complies with the financial re- quirements of this section . Each reg- istrant must be in compliance with this section at ...
... unless such person affirma- tively demonstrates to the satisfaction of the National Futures Association that it complies with the financial re- quirements of this section . Each reg- istrant must be in compliance with this section at ...
Página 56
... unless and until the National Futures Association has found the agreement acceptable and such agreement has become effec- tive in the form found acceptable . A proposed agreement filed by a reg- istrant shall be examined at the des ...
... unless and until the National Futures Association has found the agreement acceptable and such agreement has become effec- tive in the form found acceptable . A proposed agreement filed by a reg- istrant shall be examined at the des ...
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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...