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 vi
... MATERIAL There are no restrictions on the republication of material appearing in the Code of Federal Regulations . INQUIRIES AND SALES For a summary , legal interpretation , or other explanation of any regulation in this volume ...
... MATERIAL There are no restrictions on the republication of material appearing in the Code of Federal Regulations . INQUIRIES AND SALES For a summary , legal interpretation , or other explanation of any regulation in this volume ...
Página 21
... material inad- equacy , as specified in § 1.16 ( d ) ( 2 ) of these regulations , such applicant or registrant must give telegraphic notice of such material inadequacy within 3 business days , and within 5 business days after giving ...
... material inad- equacy , as specified in § 1.16 ( d ) ( 2 ) of these regulations , such applicant or registrant must give telegraphic notice of such material inadequacy within 3 business days , and within 5 business days after giving ...
Página 23
... material inadequacies . A registrant must file concurrently with the annual audit report a supplemental report by the accountant describing any material in- adequacies found to exist or found to have existed since the date of the pre ...
... material inadequacies . A registrant must file concurrently with the annual audit report a supplemental report by the accountant describing any material in- adequacies found to exist or found to have existed since the date of the pre ...
Página 24
... material inadequacies existing at the date of the examination in ( i ) the ac- counting system , ( ii ) the internal ac- counting controls , and ( iii ) the proce- dures for safeguarding customer and firm assets ( including , in the ...
... material inadequacies existing at the date of the examination in ( i ) the ac- counting system , ( ii ) the internal ac- counting controls , and ( iii ) the proce- dures for safeguarding customer and firm assets ( including , in the ...
Página 41
... material amount ; ( 3 ) Discovery that any material , specified representation or warranty of the applicant or registrant which is included in the subor- dination agreement and on which the subor- dination agreement was based or ...
... material amount ; ( 3 ) Discovery that any material , specified representation or warranty of the applicant or registrant which is included in the subor- dination agreement and on which the subor- dination agreement was based or ...
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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.