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 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 15
... pursuant to paragraph ( e ) ( 2 ) of this section to file a Form 1 - FR - IB semiannually as of the middle and the close of each calendar year . Each Form 1 - FR - IB must be filed no later than 17 business days after the date for which ...
... pursuant to paragraph ( e ) ( 2 ) of this section to file a Form 1 - FR - IB semiannually as of the middle and the close of each calendar year . Each Form 1 - FR - IB must be filed no later than 17 business days after the date for which ...
Página 16
... pursuant to paragraphs ( b ) ( 1 ) , ( b ) ( 2 ) , or ( b ) ( 4 ) of this section or §1.12 ( a ) or ( b ) which need not be certified in accordance with §1.16 may be sub- mitted to the Commission in electronic form using a Commission ...
... pursuant to paragraphs ( b ) ( 1 ) , ( b ) ( 2 ) , or ( b ) ( 4 ) of this section or §1.12 ( a ) or ( b ) which need not be certified in accordance with §1.16 may be sub- mitted to the Commission in electronic form using a Commission ...
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 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 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...