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 14
... clearing trades in his own name through , the clearing organization of a contract market . ( d ) Clearing organization . This term means the person or organization which acts as a medium for clearing transactions in commodities for ...
... clearing trades in his own name through , the clearing organization of a contract market . ( d ) Clearing organization . This term means the person or organization which acts as a medium for clearing transactions in commodities for ...
Página 15
... clearing agency , investment ad- viser , investment company , or as an as- sociated or affiliated person or em- ployee of any of the foregoing ; or ( C ) involves embezzlement , fraudulent conversion , misappropriation of funds ...
... clearing agency , investment ad- viser , investment company , or as an as- sociated or affiliated person or em- ployee of any of the foregoing ; or ( C ) involves embezzlement , fraudulent conversion , misappropriation of funds ...
Página 17
... clearing agency , investment adviser , invest- ment company , or as an associated or affiliated person or employee of any of the foregoing , or ( B ) from engaging in or continuing any conduct or practice in connection with any such ...
... clearing agency , investment adviser , invest- ment company , or as an associated or affiliated person or employee of any of the foregoing , or ( B ) from engaging in or continuing any conduct or practice in connection with any such ...
Página 17
... clearing rant is current- the registrant by sexchange or re- a national secu- ted States Securi- mission , the securi- receives from others , funds , securities , or property. 21 Chapter I - Commodity Futures Trading Commission 31.10.
... clearing rant is current- the registrant by sexchange or re- a national secu- ted States Securi- mission , the securi- receives from others , funds , securities , or property. 21 Chapter I - Commodity Futures Trading Commission 31.10.
Página 17
... clearing agency , investment ad- viser , investment company , or as an as- sociated or affiliated person or em- ployee of any of the foregoing ; or ( C ) involves embezzlement , fraudulent conversion , misappropriation of funds ...
... clearing agency , investment ad- viser , investment company , or as an as- sociated or affiliated person or em- ployee of any of the foregoing ; or ( C ) involves embezzlement , fraudulent conversion , misappropriation of funds ...
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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.