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, 1994 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página vii
... tures Trading Commission . The second volume contains Chapter II - Securities and Exchange Commission , parts 200 to 239. The third volume , comprising part 240 to end , contains the remaining regulations of the Securities and Exchange ...
... tures Trading Commission . The second volume contains Chapter II - Securities and Exchange Commission , parts 200 to 239. The third volume , comprising part 240 to end , contains the remaining regulations of the Securities and Exchange ...
Página 14
... tures Association not more than 45 days after the date for which the report is made . ( b ) Filing of financial reports . ( 1 ) ( i ) Ex- cept as provided in paragraphs ( b ) ( 3 ) and ( h ) of this section , each person reg- istered as ...
... tures Association not more than 45 days after the date for which the report is made . ( b ) Filing of financial reports . ( 1 ) ( i ) Ex- cept as provided in paragraphs ( b ) ( 3 ) and ( h ) of this section , each person reg- istered as ...
Página 20
... tures commission merchant and the in- troducing broker ; or ( iii ) By either party giving written notice of its intention to terminate the agreement , signed by an appropriate person , at least 30 days prior to the proposed termination ...
... tures commission merchant and the in- troducing broker ; or ( iii ) By either party giving written notice of its intention to terminate the agreement , signed by an appropriate person , at least 30 days prior to the proposed termination ...
Página 22
... tures commission merchant , or who files an application for registration as a futures commission merchant , who knows or should have known that its adjusted net capital at any time is less than the greatest of : ( 1 ) 150 percent of the ...
... tures commission merchant , or who files an application for registration as a futures commission merchant , who knows or should have known that its adjusted net capital at any time is less than the greatest of : ( 1 ) 150 percent of the ...
Página 23
... tures commission merchant must give immediate telegraphic notice of such a determination to the designated self- regulatory organization and the prin- cipal office of the Commission at Wash- ington , DC . This paragraph ( f ) ( 3 ) ...
... tures commission merchant must give immediate telegraphic notice of such a determination to the designated self- regulatory organization and the prin- cipal office of the Commission at Wash- ington , DC . This paragraph ( f ) ( 3 ) ...
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Términos y frases comunes
accordance action Administrative Law Judge agency agreement appeal applicant or registrant Approved Budget under control business day cash chant chapter claim clearing member Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract mar contract market control number copy customer funds decisional Director disclosure documents employee exemption filed floor broker floor trader foreign broker foreign futures foreign options futures commission merchant futures contract initial decision introducing broker issued Judgment Officer leverage contract leverage customer leverage transaction merchant Management and Budget ment modity motion National Futures Association notice option contract option customer otherwise party petition positions procedure Proceedings Clerk purchase put option records regulations request rules securities self-regulatory organization sion specified statement strike price suant submit subordination agreement subpart subpoena thereof tion tomer tract market tures commission merchant unless
Pasajes populares
Página 276 - 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 276 - ... (1) to employ any device, scheme, or artifice to defraud, (2) 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 201 - 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 174 - 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 240 - The required publication or service of a substantive rule shall be made not less than 30 days before its effective date...
Página 177 - 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 194 - ... 1 ) a court or grand jury of the United States, " ( 2 ) an agency of the United States, or "(3) either House of Congress, a joint committee of the two Houses, or a committee or a subcommittee of either House, and the person presiding over the proceeding communicates...
Página 181 - 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 197 - ... agency action" 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 194 - ... except that in a nonpublic investigatory proceeding the witness may for good cause be limited to inspection of the official transcript of his testimony.