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, 1985 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 1
... Exchanges ( This book contains Parts 1 to 239 ) CHAPTER I - Commodity Futures Trading Commission ........... CHAPTER II - Securities and Exchange Commission .............. Part 1 200 I CHAPTER I - COMMODITY FUTURES TRADING COMMISSION Part 1 ...
... Exchanges ( This book contains Parts 1 to 239 ) CHAPTER I - Commodity Futures Trading Commission ........... CHAPTER II - Securities and Exchange Commission .............. Part 1 200 I CHAPTER I - COMMODITY FUTURES TRADING COMMISSION Part 1 ...
Página 6
... chapter , shall have the meanings hereby as- signed to them , unless the context otherwise requires : ( a ) Board of Trade . This term means any exchange or association , whether incorporated or unincorporated , of persons who shall be ...
... chapter , shall have the meanings hereby as- signed to them , unless the context otherwise requires : ( a ) Board of Trade . This term means any exchange or association , whether incorporated or unincorporated , of persons who shall be ...
Página 21
... chapter . ( 2 ) All of the copies of the Financial and Operational Combined Uniform Single Report under the Securities Ex- change Act of 1934 , Part II or Part IIA , filed pursuant to paragraph ( h ) of this section will be public ...
... chapter . ( 2 ) All of the copies of the Financial and Operational Combined Uniform Single Report under the Securities Ex- change Act of 1934 , Part II or Part IIA , filed pursuant to paragraph ( h ) of this section will be public ...
Página 77
... chapter and section 5a ( 12 ) of the Act , a bylaw , rule , regulation or resolution which shall limit the maximum net long and net short position which any one person may hold or control under contracts for future delivery of any ...
... chapter and section 5a ( 12 ) of the Act , a bylaw , rule , regulation or resolution which shall limit the maximum net long and net short position which any one person may hold or control under contracts for future delivery of any ...
Página 89
... chapter or ( ii ) which is registered as a commodity trading advisor not- withstanding the availability of that exemption ; ( 4 ) Is exempt from registration as a commodity pool operator pursuant to the provisions of § 4.13 of this chapter ...
... chapter or ( ii ) which is registered as a commodity trading advisor not- withstanding the availability of that exemption ; ( 4 ) Is exempt from registration as a commodity pool operator pursuant to the provisions of § 4.13 of this chapter ...
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Términos y frases comunes
accordance action Administrative Law Judge agreement amended at 46 applicant or registrant Approved associated person authority Budget under control business day cash chant chapter Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number 3038 copy customer funds debtor Director disciplinary disclosure documents Executive exemption fees foreign broker future delivery Futures Association futures commission merchant futures contract graph hearing introducing broker K Street leverage commodity leverage contract leverage customer leverage transaction merchant ment mission modity motion National Futures Association notice Office of Management option customer otherwise Ownership Equity paragraph party positions prior procedures proceeding purchase pursuant to Rule pursuant to section records regis regulations request sion specified Stat statement strike price suant submit subordination agreement Subpart thereof tion tomer tract verage
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.