The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1979 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 12
... pursuant to paragraph ( b ) ( 4 ) of this section need be furnished only to the self - regulatory organiza- tion requesting such information and the Commission . ( d ) Contents of financial reports . ( 1 ) Each form 1 - FR filed pursuant ...
... pursuant to paragraph ( b ) ( 4 ) of this section need be furnished only to the self - regulatory organiza- tion requesting such information and the Commission . ( d ) Contents of financial reports . ( 1 ) Each form 1 - FR filed pursuant ...
Página 13
... pursuant to this § 1.10 must be an oath or affirmation that to the best knowl- edge and belief of the individual ... pursuant to paragraph ( a ) ( 2 ) of this section or within 90 days of the effective date of this section , but in no ...
... pursuant to this § 1.10 must be an oath or affirmation that to the best knowl- edge and belief of the individual ... pursuant to paragraph ( a ) ( 2 ) of this section or within 90 days of the effective date of this section , but in no ...
Página 17
... pursuant to authority hereby delegated by the Commission , may determine the applicant's fitness for registration and may issue an order , pursuant to Section 8a ( 2 ) of the Commodity Exchange Act , granting or refusing registration to ...
... pursuant to authority hereby delegated by the Commission , may determine the applicant's fitness for registration and may issue an order , pursuant to Section 8a ( 2 ) of the Commodity Exchange Act , granting or refusing registration to ...
Página 63
... pursuant to this section or determined by the Commission pursuant to paragraph ( a ) of this section ; or ( 2 ) A person's actual unsold antici- pated production or current unfilled anticipated requirements for the length of time ...
... pursuant to this section or determined by the Commission pursuant to paragraph ( a ) of this section ; or ( 2 ) A person's actual unsold antici- pated production or current unfilled anticipated requirements for the length of time ...
Página 83
... pursuant to this subpart B shall become the final decision of such ex- change . Subpart C - Summary Actions § 8.25 Member responsibility actions . An exchange may suspend at any time , or take other summary action against , a person ...
... pursuant to this subpart B shall become the final decision of such ex- change . Subpart C - Summary Actions § 8.25 Member responsibility actions . An exchange may suspend at any time , or take other summary action against , a person ...
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Términos y frases comunes
48 Stat action Administrative Law Judge affiliates aggregate amended amount applicant or registrant appropriate assets balance sheet broker or dealer caption cash certificate chapter clude Column Commis Commission's commodity Commodity Exchange Act commodity pool commodity trading advisor Company Act contract market copies cost curities deemed demand note Director disclosure documents employee equity exemption Federal fees financial statements fiscal futures commission merchant income income statement initial decision interest Investment Company issued issuer matter ment mission notice offering sheet option otherwise paragraph party percent period person prior procedures proceeding prospectus purchase pursuant to section quired record regis registration statement regulations request rities schedule secu Securities Act Securities Exchange Act service of process sion specified suant subordination agreement Subpart subpoena subsidiaries term thereof tion trading transactions underwriter unless
Pasajes populares
Página 105 - An official government record or any entry therein, when admissible for any purpose, may be evidenced by an official publication thereof or by a copy attested by the officer having legal custody of the record or by his deputy, accompanied by a certificate that such officer has custody. If the office in which the record is kept is within the United States the certificate may be made by a judge of a court of record in the district or political subdivision in which the record is kept, authenticated...
Página 161 - ... (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 351 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Página 331 - ... 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 611 - 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 498 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Página 330 - 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 264 - ... for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days. As used in this subparagraph, unusual circumstances...
Página 310 - ... 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 140 - That in any court of the United States and in any court established by Act of Congress, any writing or record, whether in the form of an entry in a book or otherwise, made as a memorandum or record of any act, transaction, occurrence, or event...