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, 2001 |
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Página 4
... disclosure of information and the testimony of present or former officers and employees in response to subpoenas or other demands of a court ....... Commission records and information Records maintained on individuals Open Commission ...
... disclosure of information and the testimony of present or former officers and employees in response to subpoenas or other demands of a court ....... Commission records and information Records maintained on individuals Open Commission ...
Página 6
... Disclosure State- ment " by futures commission merchants and introducing brokers . 1.56 Prohibition of guarantees against loss . 1.57 Operations and activities of intro- ducing brokers . 1.58 Gross collection of exchange - set mar- gins ...
... Disclosure State- ment " by futures commission merchants and introducing brokers . 1.56 Prohibition of guarantees against loss . 1.57 Operations and activities of intro- ducing brokers . 1.58 Gross collection of exchange - set mar- gins ...
Página 38
... disclosure , auditing scope or procedures , or compliance with the applicable rules of the Com- mission , which , if ... disclosures need not be made if the method asserted by the former ac- countant ceases to be generally accept- ed ...
... disclosure , auditing scope or procedures , or compliance with the applicable rules of the Com- mission , which , if ... disclosures need not be made if the method asserted by the former ac- countant ceases to be generally accept- ed ...
Página 76
... disclosure documents re- quired pursuant to paragraph ( a- 1 ) ( 5 ) ( iii ) of this section ; and ( 2 ) Records reflecting futures and op- tion transactions and other trans- actions and any other records , includ- ing the order ...
... disclosure documents re- quired pursuant to paragraph ( a- 1 ) ( 5 ) ( iii ) of this section ; and ( 2 ) Records reflecting futures and op- tion transactions and other trans- actions and any other records , includ- ing the order ...
Página 89
... disclosure made by a person of his or her positions in any subject contract market , including disclosure of posi- tions held in any personal account , controlled account , other account in which a person has an interest , and customer ...
... disclosure made by a person of his or her positions in any subject contract market , including disclosure of posi- tions held in any personal account , controlled account , other account in which a person has an interest , and customer ...
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Términos y frases comunes
accordance action Administrative Law Judge affiliated 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 delivery Director disciplinary disclosure documents employee exemption Federal fees filed floor broker floor trader foreign futures futures commission merchant futures contract graph 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 procedures Proceedings Clerk purchase put option records regulations request revised rules securities segregated self-regulatory organization sion specified statement strike price suant subordination agreement Subpart thereof tion tomer tract market trans unless
Pasajes populares
Página 259 - 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 283 - 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, Sunday or a legal holiday, in which event the period runs until the end of the next day which is neither a Saturday, Sunday nor a legal holiday.
Página 257 - 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.
Página 261 - 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...
Página 241 - ... 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 603 - Advisory Council on Historic Preservation African Development Foundation Federal Acquisition Regulation Agency for International Development, United States Federal Acquisition Regulation Agricultural Marketing Service Agricultural Research Service Agriculture Department Agricultural Marketing Service Agricultural Research Service Animal and Plant Health Inspection Service Chief Financial Officer, Office of Commodity Credit Corporation Cooperative State Research, Education, and Extension Service Economic...
Página 281 - ... 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 328 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Página 251 - 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.
Página 454 - 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.