The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1984 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 17
... copy of its Financial and Operational Combined Uniform Single Report under the Securities Exchange Act of 1934 , Part II or Part IIA , in lieu of Form 1 - FR : Provided , however , That all information which is required to be furnished ...
... copy of its Financial and Operational Combined Uniform Single Report under the Securities Exchange Act of 1934 , Part II or Part IIA , in lieu of Form 1 - FR : Provided , however , That all information which is required to be furnished ...
Página 50
... copy , such person may provide the original book or record for repro- duction , which the representative may temporarily remove from such per son's premises for this purpose . All copies or originals shall be provided promptly . Upon ...
... copy , such person may provide the original book or record for repro- duction , which the representative may temporarily remove from such per son's premises for this purpose . All copies or originals shall be provided promptly . Upon ...
Página 52
... copy of the state- ment required by § 1.46 : Provided , however , That the provisions of this paragraph ( d ) shall not apply to an ac- count controlled by the spouse , parent or child of the customer for whom such account is carried ...
... copy of the state- ment required by § 1.46 : Provided , however , That the provisions of this paragraph ( d ) shall not apply to an ac- count controlled by the spouse , parent or child of the customer for whom such account is carried ...
Página 58
... copies required . Each futures commission merchant and each member of a contract market shall , upon request , furnish or cause to be furnished to the Commission a true copy of any letter , circular , tele- gram , or report published or ...
... copies required . Each futures commission merchant and each member of a contract market shall , upon request , furnish or cause to be furnished to the Commission a true copy of any letter , circular , tele- gram , or report published or ...
Página 60
... copies of each such rule shall be furnished to the Commission at its Washington , D.C. headquarters , and one copy shall be furnished to the regional office of the Commission having local jurisdic- tion over the contract market . Each ...
... copies of each such rule shall be furnished to the Commission at its Washington , D.C. headquarters , and one copy shall be furnished to the regional office of the Commission having local jurisdic- tion over the contract market . Each ...
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Términos y frases comunes
accordance action Administrative Law Judge agreement amended at 46 appeal applicant or registrant April 13 associated person Budget under control business day cash ceeding chant Commis Commodity Exchange Act Commodity Futures commodity pool operator commodity trading advisor complaint contract market control number 3038 copy customer funds decisional demand note disciplinary disclosure documents effective date employee fees filed foreign broker Form 1-FR Form 8-R future delivery futures commission merchant futures contract graph Hearing Clerk initial decision introducing broker issue Judgment Officer leverage contract leverage customer leverage transaction merchant Management and Budget ment modity motion National Futures Association notice Office of Management option customer party position Presiding Officer procedure Proceedings Clerk purchase put option record regis regulations reparation request rules securities served specified Stat statement strike price submit subordination agreement Subpart subpoena thereof tion tures commission merchant
Pasajes populares
Página 243 - Parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of any discoverable matter.
Página 282 - 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 175 - All objections made at the time of the examination to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the officer upon the deposition. Evidence objected to shall be taken subject to the objections.
Página 569 - ... that the witness is at a greater distance than 100 miles from the place of trial or hearing, or is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or...
Página 455 - For the purpose of any investigation or any other proceeding under this act, any member of the Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 569 - ... such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Página 353 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Página 235 - ... person" includes an individual, partnership, corporation, association, or public or private organization other than an agency; (3) "party" includes a person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an agency proceeding, and a person or agency admitted by an agency as a party for limited purposes; (4) "rule...
Página 345 - ... particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest — Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
Página 191 - ... no testimony or other information compelled under the order (or any information directly or indirectly derived from such testimony or other information) may be used against the witness in any criminal case, except a prosecution for perjury, giving a false statement, or otherwise failing to comply with the order.