The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1972 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
... Commission , be assigned to any other referee . § 0.58 Intervention . At any time after the institution of a proceeding , and before it has been sub- mitted to the Commission for final con- sideration , the Commission or the referee may ...
... Commission , be assigned to any other referee . § 0.58 Intervention . At any time after the institution of a proceeding , and before it has been sub- mitted to the Commission for final con- sideration , the Commission or the referee may ...
Página 37
... commission merchant in behalf of any customer shall be con- sidered as accruing to such customer within the meaning of section 4d ( 2 ) of the Commodity Exchange Act . Such money and equities shall be treated and dealt with as belonging ...
... commission merchant in behalf of any customer shall be con- sidered as accruing to such customer within the meaning of section 4d ( 2 ) of the Commodity Exchange Act . Such money and equities shall be treated and dealt with as belonging ...
Página 49
... commission merchants and foreign brokers . ( a ) Special Accounts ; reportable posi- tions . ( 1 ) Each futures commission merchant and each foreign broker , ex- cept a futures commission merchant or foreign broker who carries all ...
... commission merchants and foreign brokers . ( a ) Special Accounts ; reportable posi- tions . ( 1 ) Each futures commission merchant and each foreign broker , ex- cept a futures commission merchant or foreign broker who carries all ...
Página 59
... commission merchants ; establish fitness requirements for futures commission merchants and floor brokers ; require contract markets to enforce their trading rules and contract terms ; and provide general information to the public re ...
... commission merchants ; establish fitness requirements for futures commission merchants and floor brokers ; require contract markets to enforce their trading rules and contract terms ; and provide general information to the public re ...
Página 67
... Commission . 200.80d Appendix D Statutes , rules , and miscellaneous publications . 200.81 Publication of interpretative and no- action letters and other written communications . Subpart E - Regulation Regarding Equal Employment ...
... Commission . 200.80d Appendix D Statutes , rules , and miscellaneous publications . 200.81 Publication of interpretative and no- action letters and other written communications . Subpart E - Regulation Regarding Equal Employment ...
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Términos y frases comunes
48 Stat account shall include affiliates amended amount application appropriate assets associate companies authorized balance sheet broker or dealer broker-dealer capital capital surplus caption cash certificate chapter Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities expense filed pursuant financial statements fiscal funds furnished futures commission merchant income interest investment adviser issued issuer ment Microphoto national securities exchange option otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy proxy statement purchase pursuant to Rule pursuant to section quired records reference regis registration statement relating request respect Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph Subpart subsidiary surplus term thereof thereto tion trading transactions underwriter unless
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Página 135 - Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Página 20 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Página 136 - ... upon application and notice, that such exceptional circumstances exist 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.
Página 296 - equity security" means any stock or similar security: or any security convertible, with or without consideration, into such, a security, or carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the...
Página 323 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity,...
Página 94 - Executive order to be kept secret in the interest of the national defense or foreign policy; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a...
Página 306 - ... (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 247 - amount", when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security.
Página 352 - ... containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Página 119 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.