The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1986 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 15
... claims of gen- eral creditors , for the period between the date of the most recent certified statement of financial condition filed with the Commission and the date for which the report is made : Provided , That for an applicant filing ...
... claims of gen- eral creditors , for the period between the date of the most recent certified statement of financial condition filed with the Commission and the date for which the report is made : Provided , That for an applicant filing ...
Página 29
... claim is discovered and which are covered by an option of outside counsel that the claim is valid and is covered by insurance policies presently in effect ; insurance claims which are older than twenty ( 20 ) business days from the date ...
... claim is discovered and which are covered by an option of outside counsel that the claim is valid and is covered by insurance policies presently in effect ; insurance claims which are older than twenty ( 20 ) business days from the date ...
Página 30
from the date the loss giving rise to the claim is discovered and which are covered by an opinion of outside coun ... claims are not outstanding longer than twenty ( 20 ) business days from the date they are so acknowl- edged by the ...
from the date the loss giving rise to the claim is discovered and which are covered by an opinion of outside coun ... claims are not outstanding longer than twenty ( 20 ) business days from the date they are so acknowl- edged by the ...
Página 35
... claims of present and future creditors pursuant to a satisfac- tory subordination agreement shall be deducted from consolidated adjusted net capital unless such subordination extends also to the claims of present or future creditors of ...
... claims of present and future creditors pursuant to a satisfac- tory subordination agreement shall be deducted from consolidated adjusted net capital unless such subordination extends also to the claims of present or future creditors of ...
Página 37
... claims which are the subject of subordination agreements which rank on the same priority as or junior to the claim of the lender under such subordination agreements . ( iv ) Proceeds of subordinated loan agreements . The subordinated ...
... claims which are the subject of subordination agreements which rank on the same priority as or junior to the claim of the lender under such subordination agreements . ( iv ) Proceeds of subordinated loan agreements . The subordinated ...
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Términos y frases comunes
accordance action Administrative Law Judge agreement amount 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 costs Counsel customer funds 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 otherwise paragraph party petition position prior procedures proceeding purchase pursuant to section quired record regis regulations request self-regulatory sion specified Stat strike price suant submit subordination agreement Subpart subpoena thereof tion tract tures unless
Pasajes populares
Página 188 - 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 364 - 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 589 - ... 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 480 - ... (b) 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, subpoena 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 354 - ... 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 242 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Página 189 - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.
Página 205 - ... 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.
Página 643 - Proved oil and gas reserves are the estimated quantities of crude oil, natural gas, and natural gas liquids which geological and engineering data demonstrate with reasonable certainty to be recoverable in future years from known reservoirs under existing economic and operating conditions, ie, prices and costs as of the date the estimate is made.
Página 184 - 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.