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 26
... appropriate and uniform symbols , ex- changes of futures for cash , transfer trades , and trades cleared on dates other than the date of execution . Such record shall also show for each futures trade such time and sequence of execution ...
... appropriate and uniform symbols , ex- changes of futures for cash , transfer trades , and trades cleared on dates other than the date of execution . Such record shall also show for each futures trade such time and sequence of execution ...
Página 28
... appropriate symbol or designation all such transac- tions or contracts and all orders , rec- ords , and memoranda pertaining thereto . ( Secs . 4b , 5a ( 12 ) , 49 Stat . 1493 , 82 Stat . 27 , 88 Stat . 1392 , 1401 , 1402 , 1413 ; 7 ...
... appropriate symbol or designation all such transac- tions or contracts and all orders , rec- ords , and memoranda pertaining thereto . ( Secs . 4b , 5a ( 12 ) , 49 Stat . 1493 , 82 Stat . 27 , 88 Stat . 1392 , 1401 , 1402 , 1413 ; 7 ...
Página 58
... appropriate for the protection of the public inter- est . ( 4 ) Commission Review of Rulings . Interlocutory review by the Commis- sion of a ruling made under this sec- tion may be sought in accordance with the procedures set forth in ...
... appropriate for the protection of the public inter- est . ( 4 ) Commission Review of Rulings . Interlocutory review by the Commis- sion of a ruling made under this sec- tion may be sought in accordance with the procedures set forth in ...
Página 67
... appropriate to determine wheth- er any persons have violated , are violat- ing , or are about to violate provisions of the Commodity Exchange Act , as amended , or the rules , regulations or orders adopted by the Commission pur- suant ...
... appropriate to determine wheth- er any persons have violated , are violat- ing , or are about to violate provisions of the Commodity Exchange Act , as amended , or the rules , regulations or orders adopted by the Commission pur- suant ...
Página 77
... appropriate . If an investiga- tion is undertaken , the Commission may , in its discretion , for that reason delay institution of a formal repara- tion proceeding . § 12.26 Effect of failure to file answer or reply ; default . ( a ) ...
... appropriate . If an investiga- tion is undertaken , the Commission may , in its discretion , for that reason delay institution of a formal repara- tion proceeding . § 12.26 Effect of failure to file answer or reply ; default . ( a ) ...
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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