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, 1986 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
Dentro del libro
Resultados 1-5 de 100
Página 57
... facts and circumstances of such other disposition . In the event any futures commission merchant deposits with the clearing organization of a contract market , directly or with a bank or trust company acting as custodian for such ...
... facts and circumstances of such other disposition . In the event any futures commission merchant deposits with the clearing organization of a contract market , directly or with a bank or trust company acting as custodian for such ...
Página 99
... facts , to institute the public procedures for denial of registration described in paragraph ( b ) of this sec- tion ; ( 4 ) In these circumstances , an appli- cant is required to reconfirm in writ- ing that he wishes to have his ...
... facts , to institute the public procedures for denial of registration described in paragraph ( b ) of this sec- tion ; ( 4 ) In these circumstances , an appli- cant is required to reconfirm in writ- ing that he wishes to have his ...
Página 100
... facts upon which those defenses are based . The provisions of §§ 10.22 and 10.23 of the Rules of Practice , concerning a com- plaint and answer , shall otherwise be inapplicable . ( d ) If no request for a hearing is re- ceived by the ...
... facts upon which those defenses are based . The provisions of §§ 10.22 and 10.23 of the Rules of Practice , concerning a com- plaint and answer , shall otherwise be inapplicable . ( d ) If no request for a hearing is re- ceived by the ...
Página 110
... facts stated in the notice shall be deemed to be true for the purpose of finding that the applicant is subject to a statutory disqualification under sec- tion 8a ( 2 ) of the Act ; and ( 2 ) Twenty days after the date the notice of ...
... facts stated in the notice shall be deemed to be true for the purpose of finding that the applicant is subject to a statutory disqualification under sec- tion 8a ( 2 ) of the Act ; and ( 2 ) Twenty days after the date the notice of ...
Página 113
... fact in any written sub- mission filed under this section as to any facts which would constitute stat- utory disqualifications under section 8a ( 2 ) of the Act ; or ( vi ) The registrant with whom the associated person is associated ...
... fact in any written sub- mission filed under this section as to any facts which would constitute stat- utory disqualifications under section 8a ( 2 ) of the Act ; or ( vi ) The registrant with whom the associated person is associated ...
Otras ediciones - Ver todas
Términos y frases comunes
accordance action Administrative Law Judge agreement amended at 46 applicant or registrant Approved associated person authority Budget under control business day cash ceeding chapter cial cluding Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number 3038 copy Counsel demand note determination Director disclosure documents Executive exemption fees financial statements foreign broker Form future delivery futures commission merchant futures contract graph initial decision interest introducing broker issue leverage contract leverage customer leverage transaction merchant matter ment mission modity motion National Futures Association notice option customer oral otherwise paragraph party petition position prior procedures proceeding purchase pursuant to section quired record regis regulations request rules self-regulatory sion specified Stat strike price suant submit subordination agreement Subpart subpoena thereof tion tract tures unless
Pasajes populares
Página 193 - 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, a Sunday, or a legal holiday...
Página 340 - A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public information.
Página 259 - ... (a) To employ any device, scheme, or artifice to defraud, (b) 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 560 - Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Página 364 - ... (7) maintain no record describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity...
Página 451 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 347 - Register for the guidance of the public-- (A) descriptions of its central and field organization and the established places at which, the employees (and in the case of a uniformed service, the members) from whom, and the methods whereby, the public may obtain information, make submittals or requests, or obtain decisions...
Página 330 - ... other 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 341 - Use of Government property. An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.
Página 207 - If objection is made, the reasons therefor shall be stated. 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.