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 22
... close of the m the last preceding market day $ 1.29 Increment or interest from investment of customer : The investment of custome in obligations described in § 1 not operate to prevent the commission merchant or clear nization so ...
... close of the m the last preceding market day $ 1.29 Increment or interest from investment of customer : The investment of custome in obligations described in § 1 not operate to prevent the commission merchant or clear nization so ...
Página 23
... close of the market each bus based upon his accounting record of such computation made and kept , together wit porting data , in accordance requirements of § 1.31 . § 1.33 Monthly statement for and record of customer's | each future ...
... close of the market each bus based upon his accounting record of such computation made and kept , together wit porting data , in accordance requirements of § 1.31 . § 1.33 Monthly statement for and record of customer's | each future ...
Página 35
... Close - out against oldest open po- sition . In all instances wherein the short or long position in such custom- ers ' account immediately prior to such offsetting purchase or sale is greater than the quantity purchased or sold , the ...
... Close - out against oldest open po- sition . In all instances wherein the short or long position in such custom- ers ' account immediately prior to such offsetting purchase or sale is greater than the quantity purchased or sold , the ...
Página 59
... close of the hearing , the reporter shall transmit to the Hearing Clerk the transcript of the testimony and the exhibits introduced in evidence at the hearing , except such portions of the transcript and exhibits as shall have been ...
... close of the hearing , the reporter shall transmit to the Hearing Clerk the transcript of the testimony and the exhibits introduced in evidence at the hearing , except such portions of the transcript and exhibits as shall have been ...
Página 80
... close of the hearing in a repara- tion proceeding , the Presiding Officer may allow amendments of the plead- ings either upon written consent of the parties or for good cause shown . ( b ) Supplemental Pleadings . Upon reasonable notice ...
... close of the hearing in a repara- tion proceeding , the Presiding Officer may allow amendments of the plead- ings either upon written consent of the parties or for good cause shown . ( b ) Supplemental Pleadings . Upon reasonable notice ...
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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