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 15
... receiving written notice from any representative of the Na- tional Futures Association , the Com- mission or any self ... received by the re- gional office of the Commission nearest the principal place of business of the registrant ...
... receiving written notice from any representative of the Na- tional Futures Association , the Com- mission or any self ... received by the re- gional office of the Commission nearest the principal place of business of the registrant ...
Página 16
... received by the National Futures Asso- ciation and by the regional office of the Commission nearest the principal place of business of the applicant ( except that an applicant under the jurisdic- tion of the Commission's Western Re ...
... received by the National Futures Asso- ciation and by the regional office of the Commission nearest the principal place of business of the applicant ( except that an applicant under the jurisdic- tion of the Commission's Western Re ...
Página 18
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) ( i ) , ( b ) ( 2 ) ( i ) or ( b ) ( 4 ) of this section or §1.12 ( b ) for filing the report . Notice of such appli- cation must be given to the designated ...
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) ( i ) , ( b ) ( 2 ) ( i ) or ( b ) ( 4 ) of this section or §1.12 ( b ) for filing the report . Notice of such appli- cation must be given to the designated ...
Página 31
... receiving written notice from any representative of the Com- mission and within the time period specified in the written ... received by the regional office of the Commission with whom the futures commission files financial reports pur ...
... receiving written notice from any representative of the Com- mission and within the time period specified in the written ... received by the regional office of the Commission with whom the futures commission files financial reports pur ...
Página 32
... received by the Commission pursuant to this sec- tion concerning a Material Affiliated Person that is subject to examination by or the reporting requirements of a Federal banking agency 32 §1.15 17 CFR Ch . I ( 4-1-99 Edition )
... received by the Commission pursuant to this sec- tion concerning a Material Affiliated Person that is subject to examination by or the reporting requirements of a Federal banking agency 32 §1.15 17 CFR Ch . I ( 4-1-99 Edition )
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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...