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 13
... sion merchant and who is not so regis- tered at the time of such filing , must , concurrently with the filing of such application file either : ( A ) A Form 1 - FR certified by an in- dependent public accountant in ac- cordance with ...
... sion merchant and who is not so regis- tered at the time of such filing , must , concurrently with the filing of such application file either : ( A ) A Form 1 - FR certified by an in- dependent public accountant in ac- cordance with ...
Página 16
... sion and the designated self - regulatory organization , if any , or does not so notify the National Futures Associa- tion , will be deemed to have elected the calendar year as its fiscal year . A registrant must continue to use its ...
... sion and the designated self - regulatory organization , if any , or does not so notify the National Futures Associa- tion , will be deemed to have elected the calendar year as its fiscal year . A registrant must continue to use its ...
Página 22
... sion pursuant to paragraph ( f ) of this section to the proper committee or of- ficer of any contract market including , for purposes of this paragraph , the clearing organization of such contract market , when , in the judgment of the ...
... sion pursuant to paragraph ( f ) of this section to the proper committee or of- ficer of any contract market including , for purposes of this paragraph , the clearing organization of such contract market , when , in the judgment of the ...
Página 28
sion merchant must maintain adjusted net capital equal to or in excess of the greatest of : ( A ) $ 50,000 ( $ 100,000 for each person registered as a futures commission merchant who is not a member of a designated tion ) , or self ...
sion merchant must maintain adjusted net capital equal to or in excess of the greatest of : ( A ) $ 50,000 ( $ 100,000 for each person registered as a futures commission merchant who is not a member of a designated tion ) , or self ...
Página 50
... sion representative shall issue a re- ceipt provided by such person for any copy or original book or record re- ceived . At the request of the Commis- sion representative , such person shall , upon the return thereof , issue a re- ceipt ...
... sion representative shall issue a re- ceipt provided by such person for any copy or original book or record re- ceived . At the request of the Commis- sion representative , such person shall , upon the return thereof , issue a re- ceipt ...
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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.