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, 1968 |
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Página 41
... transactions . ( a ) Futures commission merchants and members of contract markets : Each futures commission merchant and each member of a contract market shall keep full , complete , and systematic rec- ords , together with all ...
... transactions . ( a ) Futures commission merchants and members of contract markets : Each futures commission merchant and each member of a contract market shall keep full , complete , and systematic rec- ords , together with all ...
Página 42
... transaction was made . ( c ) Clearing members of contract markets : In the daily record or journal required to be kept ... transactions . ( a ) Competitive execution required ; exceptions . All purchases and sales of any commodity for ...
... transaction was made . ( c ) Clearing members of contract markets : In the daily record or journal required to be kept ... transactions . ( a ) Competitive execution required ; exceptions . All purchases and sales of any commodity for ...
Página 43
... transactions as are executed noncompetitively in ac- cordance with written rules of the con- tract market which have been submitted to and not disapproved by the Secretary of Agriculture , specifically providing for the noncompetitive ...
... transactions as are executed noncompetitively in ac- cordance with written rules of the con- tract market which have been submitted to and not disapproved by the Secretary of Agriculture , specifically providing for the noncompetitive ...
Página 45
... transactions involved . ( b ) Close - out against oldest open position . In all instances wherein the short or long position in such customer's account immediately prior to such off- setting purchase or sale is greater than the quantity ...
... transactions involved . ( b ) Close - out against oldest open position . In all instances wherein the short or long position in such customer's account immediately prior to such off- setting purchase or sale is greater than the quantity ...
Página 49
... transactions ; except that if there is no Commodity Ex- change Authority office in such city , the reports shall be filed in accordance with instructions from the Commodity Ex- change Authority . ( 2 ) Time of filing reports . Except as ...
... transactions ; except that if there is no Commodity Ex- change Authority office in such city , the reports shall be filed in accordance with instructions from the Commodity Ex- change Authority . ( 2 ) Time of filing reports . Except as ...
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Términos y frases comunes
48 Stat affiliates aggregate amended amount annual report application appropriate assets authorized balance sheet broker or dealer caption cash certificates Column Commis Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents employee equity securities exemption financial statements fiscal furnished futures commission merchant holding company included income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus provisions proxy proxy statement purchase pursuant to section quired records reference regis registration statement regulations request respect rules schedule section 12 secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified stock options suant Subpart subsidiaries surplus term thereof thereto tion trading transactions trust underwriter voting trustees
Pasajes populares
Página 327 - ... 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...
Página 16 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Página 118 - ... that 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 379 - ... containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Página 118 - 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 117 - 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 356 - 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 104 - direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.
Página 104 - Code of Ethics for Government Service". (b) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned. (c) The prohibition against lobbying with appropriated funds (18 USC 1913). (d) The prohibitions against disloyalty and striking (5 USC 7311, 18 USC 1918). (e) The prohibition against the employment of a member of a Communist organization (50 USC 784).
Página 136 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before purchasing the security registered.