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, 1963 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 4
... principals ; execu- tion of , for and between principals . [ Amended ] MISCELLANEOUS 1.47 Reports by persons located outside of the United States and its territories who carry accounts for others . [ Added ; superseded ] 1.48 Hedging ...
... principals ; execu- tion of , for and between principals . [ Amended ] MISCELLANEOUS 1.47 Reports by persons located outside of the United States and its territories who carry accounts for others . [ Added ; superseded ] 1.48 Hedging ...
Página 8
... principals ; exe- cution of , for and between principals . ( a ) Conditions and requirements . A member of a contract market who shall have in hand at the same time both buy- ing and selling orders of different prin- cipals for the same ...
... principals ; exe- cution of , for and between principals . ( a ) Conditions and requirements . A member of a contract market who shall have in hand at the same time both buy- ing and selling orders of different prin- cipals for the same ...
Página 18
... principal business or occupa- tion of the reporting trader ; ( d ) If the reporting trader is a part- nership , the name and address of each partner ; ( e ) If the reporting trader is a cor- poration , the names and addresses of the ...
... principal business or occupa- tion of the reporting trader ; ( d ) If the reporting trader is a part- nership , the name and address of each partner ; ( e ) If the reporting trader is a cor- poration , the names and addresses of the ...
Página 22
... principal occupation of all traders , including house accounts , holding open contracts on the records of such futures commission mer- chant , member of a contract market , or foreign broker ; ( b ) The open contracts held or con ...
... principal occupation of all traders , including house accounts , holding open contracts on the records of such futures commission mer- chant , member of a contract market , or foreign broker ; ( b ) The open contracts held or con ...
Página 76
... principal registrants or persons to be affected , stock exchanges , profes- sional societies and leading authorities on the subject concerned , and other per- sons requesting such draft ) for criticism and suggestions . Unless otherwise ...
... principal registrants or persons to be affected , stock exchanges , profes- sional societies and leading authorities on the subject concerned , and other per- sons requesting such draft ) for criticism and suggestions . Unless otherwise ...
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Términos y frases comunes
48 Stat Added affiliates aggregate amount annual report application applying for registration assets balance sheet bank broker or dealer caption certificate CODIFICATION Column Commis Commodity Exchange Act contract market curities deemed director dividends documents effective date employees exemption Federal financial statements fiscal Form furnished futures commission merchant hearing officer included income income statement interest investment adviser Investment Company Act issued issuer Item material ment national securities exchange nonresident notification number of copies offering options otherwise pany paragraph participating partner or managing period person power of attorney principal Prior Amendments profit and loss prospectus proxy statement Public Utility Holding purchase pursuant to section record regis registration statement respect restricted stock Revised Revoked Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph subsidiaries term thereof thereto tion trading transactions underwriter
Pasajes populares
Página 64 - Witnesses summoned before the 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 57 - The notice shall include: (1) a statement of the time, place, and nature of public rule making proceedings; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
Página 181 - associate" used to indicate a relationship with any person, means ( 1 ) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar...
Página 118 - ... shall be taken and held in all courts to be as valid and binding as if due service had been made upon said applicant personally within this State.
Página 171 - ... 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...
Página 65 - Objections to the competency of a witness or to the competency, relevancy, or materiality of testimony are not waived by failure to make them before or during the taking of the deposition, unless the ground of the objection is one which might have been obviated or removed if presented at that time.
Página 79 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
Página 201 - Interest of Management and Others in Certain Transactions. Describe briefly, and where practicable state the approximate amount of, any material interest, direct or indirect, of any of the following persons in any material transactions...
Página 280 - ... the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940...
Página 340 - Mines, Bureau of Monetary Offices, Treasury Department Narcotics, Bureau of National Aeronautics and Space Administration Federal Procurement Regulations System National Bureau of Standards National Labor Relations Board National Mediation Board National Park Service National Railroad Adjustment Board National...