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, 1978 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 8
... commis- sion merchant who is a member of a contract market and conforms to mini- mum financial standards and related reporting requirements set by such contract market in its bylaws , rules , regulations or resolutions and ap- proved by ...
... commis- sion merchant who is a member of a contract market and conforms to mini- mum financial standards and related reporting requirements set by such contract market in its bylaws , rules , regulations or resolutions and ap- proved by ...
Página 12
... commis- sion merchant . The following items on Schedule A , " Application for Registra- tion as Futures Commission Mer- chant : " Item 3 - Correspondents and agents ( excluding employees and associated persons ) operating within the ...
... commis- sion merchant . The following items on Schedule A , " Application for Registra- tion as Futures Commission Mer- chant : " Item 3 - Correspondents and agents ( excluding employees and associated persons ) operating within the ...
Página 26
... Commis- sion for good cause shown , the record required by this paragraph ( e ) of this section shall be maintained in format and coding structure approved by the Commission ( i ) in hard copy or on microfilm as specified in § 1.31 and ...
... Commis- sion for good cause shown , the record required by this paragraph ( e ) of this section shall be maintained in format and coding structure approved by the Commission ( i ) in hard copy or on microfilm as specified in § 1.31 and ...
Página 47
... Commis- sion . § 10.12 Service and filing of documents ; form and execution . ( a ) Service by a party or other par- ticipant in a proceeding- ( 1 ) Number of copies ; when required . Two copies of all pleadings subsequent to the com ...
... Commis- sion . § 10.12 Service and filing of documents ; form and execution . ( a ) Service by a party or other par- ticipant in a proceeding- ( 1 ) Number of copies ; when required . Two copies of all pleadings subsequent to the com ...
Página 58
... Commis- sion of a ruling made under this sec- tion may be sought in accordance with the procedures set forth in § 10.101 without certification by the Adminis- trative Law Judge . ( c ) Motions to quash subpoenas— ( 1 ) Application . Any ...
... Commis- sion of a ruling made under this sec- tion may be sought in accordance with the procedures set forth in § 10.101 without certification by the Adminis- trative Law Judge . ( c ) Motions to quash subpoenas— ( 1 ) Application . Any ...
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Términos y frases comunes
48 Stat Administrative Law Judge affiliates aggregate amended amount application appropriate assets authority balance sheet broker or dealer caption certificate chapter cluding Column Commis Commission's commodity Commodity Exchange Act contract market copies corporation curities deemed Director disclosure dividends documents effective date employee erwise exemption fees filed financial statements funds furnished futures commission merchant included income statement initial decision interest investment adviser issue issuer matter ment mission national securities exchange notice notification offering sheet option otherwise paragraph party percent period person prior proceeding prospectus purchase purposes pursuant to section quired record regis registration statement Regulation relating request respect rities schedule secu Securities Act Securities Exchange Act service of process shares sion specified suant Subpart subpoena subsidiaries term thereof thereto tion trading transactions trust underwriter unless