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
... accordance with the instructions accompanying the prescribed form and shall financial condition as of the c business on the date reported . ( 7 U.S.C. 6f , 6k , 6n , and 12a ( Supp . V [ 41 FR 3194 , Jan. 21 , 1976 , as amend FR 23993 ...
... accordance with the instructions accompanying the prescribed form and shall financial condition as of the c business on the date reported . ( 7 U.S.C. 6f , 6k , 6n , and 12a ( Supp . V [ 41 FR 3194 , Jan. 21 , 1976 , as amend FR 23993 ...
Página 9
... accordance with the instructions contained therein . The initial application for registration shall be accompanied by a Form 8 - R executed and filed by each sole propri- etor and by each natural person who is a general partner ...
... accordance with the instructions contained therein . The initial application for registration shall be accompanied by a Form 8 - R executed and filed by each sole propri- etor and by each natural person who is a general partner ...
Página 11
... accordance with the instructions contained there- in . ( d ) Each futures commission mer- chant shall promptly file with the Commission a report stating the name of each associated person newly em- ployed in such capacity by it or its ...
... accordance with the instructions contained there- in . ( d ) Each futures commission mer- chant shall promptly file with the Commission a report stating the name of each associated person newly em- ployed in such capacity by it or its ...
Página 13
... accordance with the instructions contained there- in . ( d ) Each futures commission mer- chant shall promptly file with the Commission a report stating the name of each associated person newly em- ployed in such capacity by it or its ...
... accordance with the instructions contained there- in . ( d ) Each futures commission mer- chant shall promptly file with the Commission a report stating the name of each associated person newly em- ployed in such capacity by it or its ...
Página 23
... accordance requirements of § 1.31 . § 1.33 Monthly statement for and record of customer's | each future . Each futures commission shall promptly furnish in w rectly to each customer , as of of the last business day of ea dar month or as ...
... accordance requirements of § 1.31 . § 1.33 Monthly statement for and record of customer's | each future . Each futures commission shall promptly furnish in w rectly to each customer , as of of the last business day of ea dar month or as ...
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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