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
... funds , additions and withdrawals . 1.24 Segregated funds ; exclusions there- from . 1.25 Investment of customers ' funds . 1.26 Deposit of obligations purchased with customers ' funds . 1.27 Record of investments . 1.28 Appraisal of ...
... funds , additions and withdrawals . 1.24 Segregated funds ; exclusions there- from . 1.25 Investment of customers ' funds . 1.26 Deposit of obligations purchased with customers ' funds . 1.27 Record of investments . 1.28 Appraisal of ...
Página 7
... funds of customers of such partner- ship , ( C ) The keeping of records pertain- ing to trades and / or funds of custom- ers of such partnership , or ( D ) The signing or co - signing of checks or drafts on behalf of such partnership ...
... funds of customers of such partner- ship , ( C ) The keeping of records pertain- ing to trades and / or funds of custom- ers of such partnership , or ( D ) The signing or co - signing of checks or drafts on behalf of such partnership ...
Página 16
... funds ; ( xi ) Unrealized commissions on open futures contracts ; ( xii ) Cash and claims to cash which are restricted as to withdrawal ; ( xiii ) Fixed assets , such as land , building , furniture and fixtures , im- provements to real ...
... funds ; ( xi ) Unrealized commissions on open futures contracts ; ( xii ) Cash and claims to cash which are restricted as to withdrawal ; ( xiii ) Fixed assets , such as land , building , furniture and fixtures , im- provements to real ...
Página 21
... funds , additions and withdrawals . The prohibition in section 4d ( 2 ) of the Act against commingling custom- ers ' funds with the funds of a futures commission merchant shall not be con- strued to prevent such futures com- mission ...
... funds , additions and withdrawals . The prohibition in section 4d ( 2 ) of the Act against commingling custom- ers ' funds with the funds of a futures commission merchant shall not be con- strued to prevent such futures com- mission ...
Página 30
... funds , mem- bers of the contract market , or the contract market ; and ( H ) Any other unusual , unforesee- able and adverse circumstance with re- spect to which it is impracticable for the contract market to submit , in a timely ...
... funds , mem- bers of the contract market , or the contract market ; and ( H ) Any other unusual , unforesee- able and adverse circumstance with re- spect to which it is impracticable for the contract market to submit , in a timely ...
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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