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, 2000 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 114
... administrative law judge , a court of competent juris- diction or the Commission to have committed a disciplinary offense ; ( 2 ) Entered into a settlement agree- ment within the prior three years in which any of the findings or , in ...
... administrative law judge , a court of competent juris- diction or the Commission to have committed a disciplinary offense ; ( 2 ) Entered into a settlement agree- ment within the prior three years in which any of the findings or , in ...
Página 118
... Administrative Law Judge issues an in- terim order suspending the no - action position as to such floor trader in ac- cordance with paragraph ( b ) of this sec- tion or the application for registration is withdrawn . ( b ) Suspension of ...
... Administrative Law Judge issues an in- terim order suspending the no - action position as to such floor trader in ac- cordance with paragraph ( b ) of this sec- tion or the application for registration is withdrawn . ( b ) Suspension of ...
Página 119
... Administrative Law Judge shall make a determination , based upon written evidence , as to whether the floor trader is subject to such stat- utory disqualification ; and ( iii ) If the floor trader is found to be subject to a statutory ...
... Administrative Law Judge shall make a determination , based upon written evidence , as to whether the floor trader is subject to such stat- utory disqualification ; and ( iii ) If the floor trader is found to be subject to a statutory ...
Página 154
... Administrative Law Judge shall make a determination , based upon written evidence , as to whether the registrant is subject to such statu- tory disqualification ; and ( 3 ) If the registrant is found to be subject to a statutory ...
... Administrative Law Judge shall make a determination , based upon written evidence , as to whether the registrant is subject to such statu- tory disqualification ; and ( 3 ) If the registrant is found to be subject to a statutory ...
Página 155
... Administrative Law Judge shall issue an order to that effect and the Proceedings Clerk shall promptly serve a copy of such order on the registrant , the Division of Trading and Markets and the Division of Enforcement . Such order shall ...
... Administrative Law Judge shall issue an order to that effect and the Proceedings Clerk shall promptly serve a copy of such order on the registrant , the Division of Trading and Markets and the Division of Enforcement . Such order shall ...
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Términos y frases comunes
accordance action Administrative Law Judge agency agreement amended appeal applicant or registrant associated person authority board of trade business day cash ceeding chant chapter claim cluding Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number copy customer funds Director disciplinary disclosure documents employee exemption Federal fees filed floor broker floor trader foreign futures futures commission merchant futures contract graph hearing introducing broker leverage contract leverage customer leverage transaction merchant ment mission modity National Futures Association notice Office option contract option customer option transaction otherwise Ownership Equity party petition prior procedures Proceedings Clerk purchase put option records regulations request revised rules securities segregated self-regulatory organization sion specified statement strike price suant submitted subordination agreement Subpart thereof tion tomer tract market trans unless
Pasajes populares
Página 349 - 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 349 - ... 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 274 - 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 248 - The answer shall specifically deny the matter or set forth in detail the reasons why the answering party cannot truthfully admit or deny the matter.
Página 253 - That in any court of the United States and in any court established by Act of Congress, any writing or record, whether in the form of an entry in a book or otherwise...
Página 450 - ... would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention of the law...
Página 232 - ... shall expire by its terms within such time after entry, not to exceed 10 days, as the court fixes, unless within the time so fixed the order, for good cause shown, is extended for a like period or unless the party against whom the order is directed consents that it may be extended for a longer period.
Página 273 - ... 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 243 - 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.