Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexSpecial edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 7
( 1 ) Individuals , associations , partnerships , corporations , and trusts engaged in soliciting or in accepting ... in or in connection with such solicitation or acceptance of orders , accepts any money , securities , or property ( or ...
( 1 ) Individuals , associations , partnerships , corporations , and trusts engaged in soliciting or in accepting ... in or in connection with such solicitation or acceptance of orders , accepts any money , securities , or property ( or ...
Página 11
... for compensation or profit , whether direct or indirect , is engaged in soliciting or in accepting orders ( other ... any commodity for future delivery on or subject to the rules of any contract market who does not accept any money ...
... for compensation or profit , whether direct or indirect , is engaged in soliciting or in accepting orders ( other ... any commodity for future delivery on or subject to the rules of any contract market who does not accept any money ...
Página 12
... entering into or confirming the execution of leverage contracts , or soliciting or accepting orders for leverage contracts , and who accepts leverage customer funds ( or ext ads credit in lieu thereof ) in connection therewith .
... entering into or confirming the execution of leverage contracts , or soliciting or accepting orders for leverage contracts , and who accepts leverage customer funds ( or ext ads credit in lieu thereof ) in connection therewith .
Página 21
( 1 ) The audit must be made in accordance with generally accepted auditing standards and must include a review and appropriate tests of the accounting system , the internal accounting control , and the procedures for safeguarding ...
( 1 ) The audit must be made in accordance with generally accepted auditing standards and must include a review and appropriate tests of the accounting system , the internal accounting control , and the procedures for safeguarding ...
Página 24
( 1 ) The audit must be made in accordance with generally accepted auditing standards and must include a review and appropriate tests of the accounting system , the internal accounting control , and the procedures for safeguarding ...
( 1 ) The audit must be made in accordance with generally accepted auditing standards and must include a review and appropriate tests of the accounting system , the internal accounting control , and the procedures for safeguarding ...
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Términos y frases comunes
accordance action Administrative agreement amended amount appear applicant appropriate Approved associated authority chapter charges claim close Commis Commission's commodity conduct contained contract market copy decision delivery designated determination direct Director disclosure Division documents effect employee Exchange Act Executive exemption fees filed Form funds futures commission merchant Government grant hearing held individual initial interest introducing broker investment issue Law Judge leverage contract leverage customer leverage transaction merchant limited material matter means meeting ment mission notice offer Office operator option organization otherwise paragraph party period person pool positions principal prior procedures proceeding purchase pursuant reasonable received records registration regulations relating request respect response rules securities served sion specified Stat statement submit Subpart term thereof tion trading unless written
Pasajes populares
Página 168 - 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 234 - ... (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 147 - ... person" includes an individual partnership, corporation, association, or public or private organization other than an agency; (3) "party" includes a person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an agency proceeding, and a person or agency admitted by an agency as a party for limited purposes; (4) "rule...
Página 435 - ... or other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
Página 454 - Witnesses summoned before the 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 151 - Rule 32 (c) , objection may be made at the trial or hearing to receiving in evidence any deposition or part thereof for any reason which would require the exclusion of the evidence if the witness were then present and testifying.
Página 357 - For the purpose of any investigation or any other proceeding under this act, any member of the Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 275 - Register for the guidance of the public-- (A) descriptions of its central and field organization and the established places at which, the employees (and in the case of a uniformed service, the members) from whom, and the methods whereby, the public may obtain information, make submittals or requests, or obtain decisions...
Página 361 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 273 - Use of Government property. An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.
Información bibliográfica
| Título | Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and Index |
| Colaborador | United States. Office of the Federal Register |
| Editor | Division of the Federal Register, the National Archives, 1985 |
| Procedencia del original | Universidad de Michigan |
| Digitalizado | 18 Mayo 2005 |
| Exportar cita | BiBTeX EndNote RefMan |