The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1999 The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. |
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Página 12
... accordance with the Act and these regulations . ( mm ) Introducing broker . This term means : ( 1 ) Any person who , for compensation or profit , whether direct or indirect , is engaged in soliciting or in accepting orders ( other than ...
... accordance with the Act and these regulations . ( mm ) Introducing broker . This term means : ( 1 ) Any person who , for compensation or profit , whether direct or indirect , is engaged in soliciting or in accepting orders ( other than ...
Página 15
... accordance with §1.16 no later than 90 days after the close of each introducing broker's fis- cal year : Provided , however , that a reg- istrant which is registered with the Se- curities and Exchange Commission as a securities broker ...
... accordance with §1.16 no later than 90 days after the close of each introducing broker's fis- cal year : Provided , however , that a reg- istrant which is registered with the Se- curities and Exchange Commission as a securities broker ...
Página 16
... accordance with §1.16 may be sub- mitted to the Commission in electronic form using a Commission - assigned Per- sonal Identification Number , and oth- erwise in accordance with instructions issued by the Commission , if the fu- tures ...
... accordance with §1.16 may be sub- mitted to the Commission in electronic form using a Commission - assigned Per- sonal Identification Number , and oth- erwise in accordance with instructions issued by the Commission , if the fu- tures ...
Página 17
... accordance with § 30.7 of this chapter as of the date for which the re- port is made ; ( v ) Appropriate footnote disclosures ; ( vi ) A reconciliation , including ap- propriate explanations , of the state- ment of the computation of ...
... accordance with § 30.7 of this chapter as of the date for which the re- port is made ; ( v ) Appropriate footnote disclosures ; ( vi ) A reconciliation , including ap- propriate explanations , of the state- ment of the computation of ...
Página 19
... accordance with § 30.7 of this chapter . The other finan- cial statements ( including the state- ment of income ( loss ) ) , footnote disclo- sures and schedules of Form 1 - FR , trade secrets and certain other com- mercial or financial ...
... accordance with § 30.7 of this chapter . The other finan- cial statements ( including the state- ment of income ( loss ) ) , footnote disclo- sures and schedules of Form 1 - FR , trade secrets and certain other com- mercial or financial ...
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Términos y frases comunes
accordance action Administrative Law Judge agency amended amount applicant or registrant associated person authority board of trade business days 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 decision demand note designated self-regulatory Director disciplinary disclosure documents employee Exchange Act exemption Federal filed floor broker floor trader foreign futures Form futures commission merchant futures contract graph introducing broker istrant leverage contract leverage customer leverage transaction merchant margin ment modity National Futures Association notice Office option contract option customer otherwise Ownership Equity party prior procedures Proceedings Clerk purchase records regulations request rules securities segregated self-regulatory organization sion specified statement strike price suant subordination agreement Subpart thereof tion tomer tract market tures commission merchant unless written
Pasajes populares
Página 346 - 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 346 - ... 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 309 - The required publication or service of a substantive rule shall be made not less than 30 days before its effective date...
Página 272 - 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 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 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.
Página 574 - Commodity and Securities Exchanges I Commodity Futures Trading Commission (Parts 1 — 199) II Securities and Exchange Commission (Parts 200 — 399) IV Department of the Treasury (Parts 400 — 499) Title...