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. |
Dentro del libro
Resultados 1-5 de 61
Página 4
... response to subpoenas or other demands of a court 429 145 146 147 148 Commission records and information Records maintained on individuals Open Commission meetings 431 445 454 149 Implementation of the Equal Access to Justice Act in ...
... response to subpoenas or other demands of a court 429 145 146 147 148 Commission records and information Records maintained on individuals Open Commission meetings 431 445 454 149 Implementation of the Equal Access to Justice Act in ...
Página 122
... response thereto , any written reply submitted by the Division of Enforcement and such other papers as the Administra- tive Law Judge may require or permit . ( 5 ) Suspension and order to show cause . ( 1 ) If the floor trader is found ...
... response thereto , any written reply submitted by the Division of Enforcement and such other papers as the Administra- tive Law Judge may require or permit . ( 5 ) Suspension and order to show cause . ( 1 ) If the floor trader is found ...
Página 132
... response to the questions on Form 8 - R which relate to the applicant's edu- cation and employment history during the preceding three years . ( iii ) To the best of the sponsor's knowledge , information , and belief , all of the ...
... response to the questions on Form 8 - R which relate to the applicant's edu- cation and employment history during the preceding three years . ( iii ) To the best of the sponsor's knowledge , information , and belief , all of the ...
Página 139
... response to any communication sent to the latest such address filed with the National Futures Association which is caused by a failure to notify in writing the Na- tional Futures Association of an ad- dress change may result in an order ...
... response to any communication sent to the latest such address filed with the National Futures Association which is caused by a failure to notify in writing the Na- tional Futures Association of an ad- dress change may result in an order ...
Página 150
... response to items 14 through 18 on the applicant's Form 8 - R ; or ( ii ) An event has occurred leading to an affirmative response to any of items 14 through 18 on the applicant's Form 8 - R . ( b ) Upon termination , the applicant may ...
... response to items 14 through 18 on the applicant's Form 8 - R ; or ( ii ) An event has occurred leading to an affirmative response to any of items 14 through 18 on the applicant's Form 8 - R . ( b ) Upon termination , the applicant may ...
Otras ediciones - Ver todas
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...