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
... Documents , G ernment Printing Office , Washington , D.C. 20402 . FRED J. EMERY , Director , Office of the Federal Register . April 3 , 1978 . THIS TITLE Title 17 - COMMODITY AND SECURITIES EXCHANGES is vi OBSOLETE PROVISIONS.
... Documents , G ernment Printing Office , Washington , D.C. 20402 . FRED J. EMERY , Director , Office of the Federal Register . April 3 , 1978 . THIS TITLE Title 17 - COMMODITY AND SECURITIES EXCHANGES is vi OBSOLETE PROVISIONS.
Página 9
... office manager of the app cant , or performs similar functions , is any other controlling person of th applicant ; except that an accompan ing Form 8 - R need not be filed by ar individual who is registered as a flo broker or an ...
... office manager of the app cant , or performs similar functions , is any other controlling person of th applicant ; except that an accompan ing Form 8 - R need not be filed by ar individual who is registered as a flo broker or an ...
Página 14
... office ; Item 4 - Names of partners , officers , direc- tors and persons performing similar func- tions and owners of 10 percent or more of the capital stock of the registrant ; Item 5 - Addresses of branch offices and names of branch ...
... office ; Item 4 - Names of partners , officers , direc- tors and persons performing similar func- tions and owners of 10 percent or more of the capital stock of the registrant ; Item 5 - Addresses of branch offices and names of branch ...
Página 32
... office of the Commission having local jurisdiction over the contract market . ( In the case of any change in , addition to , or deletion from any existing rule of the contract market , the existing rule shall be set forth , with ...
... office of the Commission having local jurisdiction over the contract market . ( In the case of any change in , addition to , or deletion from any existing rule of the contract market , the existing rule shall be set forth , with ...
Página 43
... office in the Commission that prosecutes a complaint issued by the Commission ; ( h ) " Hearing " means that part of a proceeding which involves the submis- sion of evidence , either by oral presen- tation or written submission ; ( i ) ...
... office in the Commission that prosecutes a complaint issued by the Commission ; ( h ) " Hearing " means that part of a proceeding which involves the submis- sion of evidence , either by oral presen- tation or written submission ; ( i ) ...
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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