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 4
... Application for registration and finan- cial reports . 1.10a Application for registration of floor brokers . 1.10b Applications for registration of asso- ciated persons . 1.10c Applications for registration of com- modity trading ...
... Application for registration and finan- cial reports . 1.10a Application for registration of floor brokers . 1.10b Applications for registration of asso- ciated persons . 1.10c Applications for registration of com- modity trading ...
Página 8
... Applications for registration nancial reports of futures com merchants . a ( a ) Application for registratio futures commission merchant s filed on Form 7 - R in accordanc the instructions contaned there initial application for regis ...
... Applications for registration nancial reports of futures com merchants . a ( a ) Application for registratio futures commission merchant s filed on Form 7 - R in accordanc the instructions contaned there initial application for regis ...
Página 8
... Applications for registrat floor brokers . ( a ) Application for registratio floor broker shall be filed on F R in accordance with the instru contained therein . ( b ) Each registrant applying newal of registration as a floor on Form 8 ...
... Applications for registrat floor brokers . ( a ) Application for registratio floor broker shall be filed on F R in accordance with the instru contained therein . ( b ) Each registrant applying newal of registration as a floor on Form 8 ...
Página 9
... Applications for registration of commodity trading advisors . Application for registration as a commodity trading advisor shall be filed on Form 7 - R in accordance with the instructions contained therein . The initial application for ...
... Applications for registration of commodity trading advisors . Application for registration as a commodity trading advisor shall be filed on Form 7 - R in accordance with the instructions contained therein . The initial application for ...
Página 10
... application for registration ( or renewal thereof ) the Commission will , if the application be approved , notify the registrant that he has been registered under the Act . If registration is refused , the fee shall be returned to the ...
... application for registration ( or renewal thereof ) the Commission will , if the application be approved , notify the registrant that he has been registered under the Act . If registration is refused , the fee shall be returned to 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