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
... contained therein . ( b ) Each registrant applying newal of registration as a floor on Form 8 - R may insert the " No Change " or " Information Last Application , " as the case m in response to items on Form 8 Schedule A , in accordance ...
... contained therein . ( b ) Each registrant applying newal of registration as a floor on Form 8 - R may insert the " No Change " or " Information Last Application , " as the case m in response to items on Form 8 Schedule A , in accordance ...
Página 9
... 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 , officer , director or branch officer ...
... 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 , officer , director or branch officer ...
Página 10
... contained in any of the items on Form 7 - R of such application or supplemen- tal statement ; or contained in any of the following items on Schedules A , B or C of Form 7 - R : ( 1 ) With respect to a futures commis- sion merchant . The ...
... contained in any of the items on Form 7 - R of such application or supplemen- tal statement ; or contained in any of the following items on Schedules A , B or C of Form 7 - R : ( 1 ) With respect to a futures commis- sion merchant . The ...
Página 11
... 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 agents , and shall promptly file ...
... 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 agents , and shall promptly file ...
Página 12
... contained in any of the items on Form 7 - R of such application or supplemen- tal statement ; or contained in any of the following items on Schedules A , B or C of Form 7 - R : ( 1 ) With respect to a futures commis- sion merchant . The ...
... contained in any of the items on Form 7 - R of such application or supplemen- tal statement ; or contained in any of the following items on Schedules A , B or C of Form 7 - R : ( 1 ) With respect to a futures commis- sion merchant . 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