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, 1996 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página vi
... Director , Office of the Federal Register , National Archives and Records Administration , Washington , DC 20408 . SALES The Government Printing Office ( GPO ) processes all sales and distribution of the CFR . For payment by credit card ...
... Director , Office of the Federal Register , National Archives and Records Administration , Washington , DC 20408 . SALES The Government Printing Office ( GPO ) processes all sales and distribution of the CFR . For payment by credit card ...
Página 5
... Director of the Division of Eco- nomic Analysis . 1.41c Delegation of authority to the Direc- tor of the Division of Trading and Mar- kets to receive notice of an emergency action . 1.42 Delivery notice ; filing of copy . 1.43 ...
... Director of the Division of Eco- nomic Analysis . 1.41c Delegation of authority to the Direc- tor of the Division of Trading and Mar- kets to receive notice of an emergency action . 1.42 Delivery notice ; filing of copy . 1.43 ...
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... director or owner of ten percent or more of the capital stock , of such organization ; ( v ) An employee of such individual , partnership , corporation or association whose duties include : ( A ) The management of the business of such ...
... director or owner of ten percent or more of the capital stock , of such organization ; ( v ) An employee of such individual , partnership , corporation or association whose duties include : ( A ) The management of the business of such ...
Página 24
... Director's designee may require that the futures commission merchant provide or cause a Material Affiliated Person ... Director or designee may speci- fy , such other information as the Divi- sion Director or designee determines to be ...
... Director's designee may require that the futures commission merchant provide or cause a Material Affiliated Person ... Director or designee may speci- fy , such other information as the Divi- sion Director or designee determines to be ...
Página 32
... director , officer , or employee , except that a firm will be deemed independent with respect to an applicant or reg- istrant and its affiliates if a former employee or officer of such applicant or registrant or any such affiliate is ...
... director , officer , or employee , except that a firm will be deemed independent with respect to an applicant or reg- istrant and its affiliates if a former employee or officer of such applicant or registrant or any such affiliate is ...
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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 clude Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract mar 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 otherwise Ownership Equity party petition procedures Proceedings Clerk purchase put option 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 254 - 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 231 - A denial shall fairly meet the substance of the requested admission, and when good faith requires that a party qualify his answer or deny only a part of the matter of which an admission is requested, he shall specify so much of it as is true and qualify or deny the remainder.
Página 228 - 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 233 - 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 235 - An official record or an entry therein, when admissible for any purpose, may be evidenced by an official publication thereof or by a copy attested by the officer having the legal custody of the record, or by his deputy, and accompanied with a certificate that such officer has the custody.
Página 229 - SUPPLEMENTAL PLEADINGS. Upon motion of a party the court may, upon reasonable notice and upon such terms as are just, permit him to serve a supplemental pleading setting forth transactions or occurrences or events which have happened since the date of the pleading sought to be supplemented.
Página 12 - futures commission merchant" shall mean and include individuals, associations, partnerships, corporations, and trusts engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market and that...
Página 236 - 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 218 - ... 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 525 - ... or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person...