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. |
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Página 14
... received by the re- gional office of the Commission near- est the principal place of business of the registrant ( except that a regis- trant under the jurisdiction of the Commission's Western Regional Office must file such reports with ...
... received by the re- gional office of the Commission near- est the principal place of business of the registrant ( except that a regis- trant under the jurisdiction of the Commission's Western Regional Office must file such reports with ...
Página 16
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) or ( b ) ( 4 ) of this section or § 1.12 ( b ) for filing the report . Notice of such application must be given to the designated self- regulatory ...
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) or ( b ) ( 4 ) of this section or § 1.12 ( b ) for filing the report . Notice of such application must be given to the designated self- regulatory ...
Página 25
... received by the principal office of the Commission in Washing- ton , D.C. and by the designated self- regulatory organization , if any , prior to the date on which the report is due ; and ( vii ) Be accompanied by a letter from the ...
... received by the principal office of the Commission in Washing- ton , D.C. and by the designated self- regulatory organization , if any , prior to the date on which the report is due ; and ( vii ) Be accompanied by a letter from the ...
Página 46
... received customer funds for depos- it in a segregated account , as provided in this section , may hold , dispose of , or use any such funds as belonging to any person other than the option or commodity customers of the futures ...
... received customer funds for depos- it in a segregated account , as provided in this section , may hold , dispose of , or use any such funds as belonging to any person other than the option or commodity customers of the futures ...
Página 49
... received of such disposition , if any ; and ( 7 ) The name of the person to or through whom such investments were disposed of . ( b ) Each clearing organization which receives documents from its clearing members representing investment ...
... received of such disposition , if any ; and ( 7 ) The name of the person to or through whom such investments were disposed of . ( b ) Each clearing organization which receives documents from its clearing members representing investment ...
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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.