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, 1979 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 27
... exchange or with a national securities association ; and Item 15 - Any action by the United States Securities and Exchange Commission , the securities commission , or equivalent author- ity , of any State for the regulation of bro- kers ...
... exchange or with a national securities association ; and Item 15 - Any action by the United States Securities and Exchange Commission , the securities commission , or equivalent author- ity , of any State for the regulation of bro- kers ...
Página 78
... exchange rules . ( a ) Each exchange shall submit to the Commission for its approval rules implementing the following regula- tions : 8.11 , 8.13 , 8.15 , 8.17 , 8.18 and 8.20 of subpart B and §§ 8.26 and 8.28 of subpart C. Any such ...
... exchange rules . ( a ) Each exchange shall submit to the Commission for its approval rules implementing the following regula- tions : 8.11 , 8.13 , 8.15 , 8.17 , 8.18 and 8.20 of subpart B and §§ 8.26 and 8.28 of subpart C. Any such ...
Página 79
... exchange shall establish and maintain a disciplinary procedure which requires the enforcement staff of the exchange to conduct investiga- tions of possible rule violations within the disciplinary jurisdiction of the ex- change . Such an ...
... exchange shall establish and maintain a disciplinary procedure which requires the enforcement staff of the exchange to conduct investiga- tions of possible rule violations within the disciplinary jurisdiction of the ex- change . Such an ...
Página 82
... exchange . ( b ) The rules of an exchange may provide that a penalty may be summa- rily imposed upon any person within its jurisdiction whose actions impede the progress of a hearing . § 8.18 Decision . Promptly following a hearing con ...
... exchange . ( b ) The rules of an exchange may provide that a penalty may be summa- rily imposed upon any person within its jurisdiction whose actions impede the progress of a hearing . § 8.18 Decision . Promptly following a hearing con ...
Página 83
... exchange shall establish rules setting forth when a decision rendered 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 ...
... exchange shall establish rules setting forth when a decision rendered 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 ...
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Términos y frases comunes
accordance adjusted net capital Administrative Law Judge amended amount applicant or registrant associated person audit authority bona fide hedging business days cash clearing organization cluding Commis Commission's Commodity Exchange Act Commodity Futures Trading commodity interest commodity option commodity pool operator commodity trading advisor complaint contract market copy deposited designated self-regulatory Director disclosure documents effective date employee Executive exempt fees filed floor broker form 1-FR Form 8-R future delivery futures commission merchant futures contract Hearing Clerk issue Item matter ment mission modity motion net asset value notice option customer otherwise Ownership Equity participants party period position Presiding Officer procedures proceeding pursuant to paragraph pursuant to section quired record regulations request responsibility rules segregated self-regulatory organization sion specified statement subordination agreement Subpart subpoena thereof tion tract market transactions trant tures commission merchant unless violation
Pasajes populares
Página 71 - Parties may obtain discovery regarding any matter, not privileged, which is relevant to the subject matter involved in the pending action, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party, including the existence, description, nature, custody, condition and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of any discoverable matter.
Página 81 - 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 56 - 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 247 - 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 453 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...
Página 231 - ... 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 49 - ... person" includes an individual partnership, corporation, association, or public or private organization other than an agency; (3) "party" includes a person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an agency proceeding, and a person or agency admitted by an agency as a party for limited purposes; (4) "rule...
Página 142 - For the purpose of any investigation or any other proceeding under this act, 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, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 453 - ... 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...
Página 232 - 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.