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 10
... authority over , or rocal business arrangements w tures commission merchants , ag futures commission merchants modity pools , commodity pool tors , floor brokers , associated p or other commodity trading a by the registrant or any p ...
... authority over , or rocal business arrangements w tures commission merchants , ag futures commission merchants modity pools , commodity pool tors , floor brokers , associated p or other commodity trading a by the registrant or any p ...
Página 12
... authority over , or recip- rocal business arrangements with fu- tures commission merchants , agents of futures commission merchants , com- modity pools , commodity pool opera- tors , floor brokers , associated persons or other commodity ...
... authority over , or recip- rocal business arrangements with fu- tures commission merchants , agents of futures commission merchants , com- modity pools , commodity pool opera- tors , floor brokers , associated persons or other commodity ...
Página 14
... authority of any State for the regulation of brokers and dealers in securities ; conviction of any felony in any Federal or State court ; convic- tion of any offense involving the handling of any commodity or securities account for any ...
... authority of any State for the regulation of brokers and dealers in securities ; conviction of any felony in any Federal or State court ; convic- tion of any offense involving the handling of any commodity or securities account for any ...
Página 33
... authority to the Ex- ecutive 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 ...
... authority to the Ex- ecutive 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 ...
Página 40
... authorities , the contract market shall submit to the Commis- sion copies of the complaint and answer ( whether or not ... AUTHORITY : Sec . 2 ( a ) ( 10 ) of the Co ity Exchange Act , as amended , 7 U.S. SOURCE : 41 FR 9552 , Mar. 5 ...
... authorities , the contract market shall submit to the Commis- sion copies of the complaint and answer ( whether or not ... AUTHORITY : Sec . 2 ( a ) ( 10 ) of the Co ity Exchange Act , as amended , 7 U.S. SOURCE : 41 FR 9552 , Mar. 5 ...
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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