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 vi
... Director , Office of the Federal Register , National Archives and Records Servi General Services Administration , Washington , D.C. 20408 ( telephone 202-5 5240 ) . Sales are handled exclusively by the Superintendent of Documents , G ...
... Director , Office of the Federal Register , National Archives and Records Servi General Services Administration , Washington , D.C. 20408 ( telephone 202-5 5240 ) . Sales are handled exclusively by the Superintendent of Documents , G ...
Página 7
... director or owner of ten percent or more of the capital stock , of such organization ; ( v ) An employee of such individual , partnership , corporation or association whose duties include : ( A ) The management of the business of such ...
... director or owner of ten percent or more of the capital stock , of such organization ; ( v ) An employee of such individual , partnership , corporation or association whose duties include : ( A ) The management of the business of such ...
Página 9
... director or branch officer manager of the appli- cant , or performs similar functions , or is any other controlling person of the applicant ; except that an accompany- ing Form 8 - R need not be filed by any individual who is registered ...
... director or branch officer manager of the appli- cant , or performs similar functions , or is any other controlling person of the applicant ; except that an accompany- ing Form 8 - R need not be filed by any individual who is registered ...
Página 33
... Director and the Director of the Division of Trading and Markets . The Commission hereby delegates , until the Commission orders other- wise , the following authority to the Executive Director and the Director of the Division of Trading ...
... Director and the Director of the Division of Trading and Markets . The Commission hereby delegates , until the Commission orders other- wise , the following authority to the Executive Director and the Director of the Division of Trading ...
Página 40
... director , or other official of the contract market , arising from conduct in such person's capacity as a contract market official and alleging violations of ( 1 ) the Act or any rule , regulation , or order thereunder ; ( 2 ) the ...
... director , or other official of the contract market , arising from conduct in such person's capacity as a contract market official and alleging violations of ( 1 ) the Act or any rule , regulation , or order thereunder ; ( 2 ) the ...
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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