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, 1997 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 14
... pursuant to a guarantee agreement , or which was operating pursuant to a guarantee agreement and was also a se- curities broker or dealer at the time of succession , who files an application for registration as an introducing broker ...
... pursuant to a guarantee agreement , or which was operating pursuant to a guarantee agreement and was also a se- curities broker or dealer at the time of succession , who files an application for registration as an introducing broker ...
Página 16
... pursuant to paragraph ( b ) ( 4 ) of this section need be furnished only to the self - regulatory organization requesting such informa- tion and the Commission , and that in- formation required of an applicant pur- suant to paragraph ...
... pursuant to paragraph ( b ) ( 4 ) of this section need be furnished only to the self - regulatory organization requesting such informa- tion and the Commission , and that in- formation required of an applicant pur- suant to paragraph ...
Página 17
... pursuant to §1.17 and , for a futures commission merchant only , the statements of seg- regation requirements and ... pursuant to paragraphs ( b ) ( 1 ) ( ii ) or ( b ) ( 2 ) ( ii ) of this section or accom- panying the application for ...
... pursuant to §1.17 and , for a futures commission merchant only , the statements of seg- regation requirements and ... pursuant to paragraphs ( b ) ( 1 ) ( ii ) or ( b ) ( 2 ) ( ii ) of this section or accom- panying the application for ...
Página 19
... pursuant to paragraph ( i ) of this section will be public : Provided , however , That if the balance sheet and the statement of the computation of the minimum capital requirements pursuant to §1.17 are bound separately from the other ...
... pursuant to paragraph ( i ) of this section will be public : Provided , however , That if the balance sheet and the statement of the computation of the minimum capital requirements pursuant to §1.17 are bound separately from the other ...
Página 20
... pursuant to §1.17 . At- tached to each financial report filed pursuant to this paragraph ( i ) must be an oath or affirmation that to the best knowledge and belief of the individual making such oath or affirmation the information ...
... pursuant to §1.17 . At- tached to each financial report filed pursuant to this paragraph ( i ) must be an oath or affirmation that to the best knowledge and belief of the individual making such oath or affirmation the information ...
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Términos y frases comunes
accordance adjusted net capital Administrative Law Judge amended ance applicant or reg applicant or registrant assets associated person business days cash chant chapter cluding Commis Commodity Exchange Act commodity interest commodity option commodity pool operator commodity trading advisor contract mar contract market control number copy customer funds deemed designated self-regulatory disciplinary Disclosure Document exemption filed floor broker floor trader foreign futures foreign options Form 1-FR Form 1-FR-IB Form 8-R future delivery futures commission merchant futures contract graph guarantee agreement introducing broker istrant leverage contract leverage customer leverage transaction merchant Material Affiliated Person ment mission merchant modity National Futures Association Office option customers party principal prior procedures Proceedings Clerk purchase pursuant to paragraph records regulations request rules self-regulatory organization specified statement strike price suant submitted subordination agreement Subpart thereof tion tomers tract market tures commission merchant
Pasajes populares
Página 339 - 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 339 - ... 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...
Página 250 - 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 245 - 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. Otherwise a party may amend his pleading only by leave of court or by written consent of the adverse party; and leave shall be freely given when justice so requires.
Página 265 - 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 252 - A written statement signed by an officer having the custody of an official record, or by his deputy, that after diligent search no record or entry of a specified tenor is found to exist in the records of his office, accompanied by a certificate as above provided, is admissible as evidence that the records of his office contain no such record or entry.
Página 265 - ... 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 301 - The required publication or service of a substantive rule shall be made not less than 30 days before its effective date...
Página 449 - ... (8) make reasonable efforts to serve notice on an individual when any record on such individual is made available to any person under compulsory legal process when such process becomes a matter of public record...
Página 252 - If the office in which the record is kept is within the United States or within a territory or insular possession subject to the dominion of the United States, the certificate may be made by a judge of a court of record of the district or political subdivision in which the record is kept, authenticated by the seal of the court, or may be made by any public officer having a seal of office and having official duties in the district or political subdivison in which the record is kept, authenticated...