Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1995 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 6
... notice is given and include the day on which shall take place the act of which notice is given . ( c ) Clearing member . This term means any person who is a member of , or en- joys the privilege of clearing trades in his own name ...
... notice is given and include the day on which shall take place the act of which notice is given . ( c ) Clearing member . This term means any person who is a member of , or en- joys the privilege of clearing trades in his own name ...
Página 15
... notice must also be filed with the regional office of the Commission nearest the principal place of business of the applicant ( except that an appli- cant under the jurisdiction of the Com- mission's Western Regional Office must file ...
... notice must also be filed with the regional office of the Commission nearest the principal place of business of the applicant ( except that an appli- cant under the jurisdiction of the Com- mission's Western Regional Office must file ...
Página 17
... notice must also be filed with the regional office of the Commission nearest the principal place of business of the applicant ( except that an appli- cant under the jurisdiction of the Com- mission's Western Regional Office must file ...
... notice must also be filed with the regional office of the Commission nearest the principal place of business of the applicant ( except that an appli- cant under the jurisdiction of the Com- mission's Western Regional Office must file ...
Página 20
... notice thereof , signed by an appropriate person on behalf of each party , to the Commission and to the designated self - regulatory organi- zations of the futures commission mer- chant and the introducing broker ; ( ii ) For good cause ...
... notice thereof , signed by an appropriate person on behalf of each party , to the Commission and to the designated self - regulatory organi- zations of the futures commission mer- chant and the introducing broker ; ( ii ) For good cause ...
Página 22
... notice as set forth in paragraph ( h ) of this section that such applicant's or registrant's adjusted net capital is less than re- quired by §1.17 or by such other capital rule , identifying the applicable capital rule . This notice ...
... notice as set forth in paragraph ( h ) of this section that such applicant's or registrant's adjusted net capital is less than re- quired by §1.17 or by such other capital rule , identifying the applicable capital rule . This notice ...
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Términos y frases comunes
accordance action Administrative Law Judge agency agreement amended appeal applicant or registrant associated person authority business day cash chant chapter claim Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number copy customer funds delivery demand note Director disciplinary disclosure documents employee exemption Federal fees filed floor broker floor trader foreign futures futures commission merchant futures contract Futures Trading graph hearing introducing broker istrant leverage contract leverage customer leverage transaction merchant ment modity motion National Futures Association notice Office option contract option customer otherwise Ownership Equity party petition procedures Proceedings Clerk purchase records regulations request revised rules securities self-regulatory organization sion specified statement strike price suant submit subordination agreement Subpart thereof tion tomer tract market trans tures commission merchant unless written
Pasajes populares
Página 273 - ... when the agency for good cause finds (and incorporates the finding and a brief statement of reasons therefor in the rules issued) that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest.
Página 309 - ... (a) To employ any device, scheme, or artifice to defraud, (b) 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 (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 221 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Página 207 - In computing any period of time prescribed or allowed by these rules, by the local rules of any district court, by order of court, or by any applicable statute, the day of the act, event, or default from which the designated period of time begins to run shall not be included.
Página 212 - AMENDMENTS. A party may amend his pleading once as a matter of course at any time before a responsive pleading is served or, if the pleading is one to which no responsive pleading is permitted and the action has not been placed upon the trial calendar, he may so amend it at any time within 20 days after it is served. Otherwise a party may amend his pleading only by leave of court or by written consent of the adverse party; and leave shall be freely given when justice so requires.
Página 235 - ... agency action" includes the whole or a part of an agency rule, order, license, sanction, relief, or the equivalent or denial thereof, or failure to act; and (14) "ex parte communication" means an oral or written communication not on the public record with respect to which reasonable prior notice to all parties is not given, but it shall not include requests for status reports on any matter or proceeding covered by this subchapter.
Página 455 - The last day of the period so computed is to be included, unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, a Sunday, or a holiday. When the period of time prescribed or allowed is less than 7 days, intermediate Saturdays, Sundays and holidays shall be excluded in the computation.
Página 202 - ... shall expire by its terms within such time after entry, not to exceed 10 days, as the court fixes, unless within the time so fixed the order, for good cause shown, is extended for a like period or unless the party against whom the order is directed consents that it may be extended for a longer period.
Página 144 - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust within the scope of his employment or office shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust, as well as of such official, agent, or other person. The words "interstate commerce...
Página 217 - ... as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.