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 10
... solicitation or acceptance of leverage customers ' orders ( other than in a clerical capacity ) for leverage transactions as defined in § 31.4 ( x ) of this chapter , or ( ii ) the supervision of any person or persons so engaged .
... solicitation or acceptance of leverage customers ' orders ( other than in a clerical capacity ) for leverage transactions as defined in § 31.4 ( x ) of this chapter , or ( ii ) the supervision of any person or persons so engaged .
Página 12
( pp ) “ Leverage customer funds " means all money , securities and property received , directly or indirectly by a leverage transaction merchant from , for , or on behalf of leverage customers to margin , guarantee or secure leverage ...
( pp ) “ Leverage customer funds " means all money , securities and property received , directly or indirectly by a leverage transaction merchant from , for , or on behalf of leverage customers to margin , guarantee or secure leverage ...
Página 67
... obligations to leverage accordance with the requirements of customers and made in accordance § 1.61 ( b ) and approved by the Commis- with $ $ 31.8 ( a ) and 31.12 ( b ) of this sion pursuant to section 5a ( 12 ) of the chapter .
... obligations to leverage accordance with the requirements of customers and made in accordance § 1.61 ( b ) and approved by the Commis- with $ $ 31.8 ( a ) and 31.12 ( b ) of this sion pursuant to section 5a ( 12 ) of the chapter .
Página 74
The use of leverage can lead to large losses as well as gains . ... ( a ) Each introducing broker must : ( 1 ) Open and carry each customer's and option customer's account with a carrying futures commission merchant on a fully ...
The use of leverage can lead to large losses as well as gains . ... ( a ) Each introducing broker must : ( 1 ) Open and carry each customer's and option customer's account with a carrying futures commission merchant on a fully ...
Página 91
... ( iv ) A commodity trading advisor and a leverage transaction merchant ; or 3.20 or former $ 1.10e , to deny ... or property for a participation in a commodity pool , with respect to any customers or option customers common to . it ...
... ( iv ) A commodity trading advisor and a leverage transaction merchant ; or 3.20 or former $ 1.10e , to deny ... or property for a participation in a commodity pool , with respect to any customers or option customers common to . it ...
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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 |