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 21
... Interest of futures commission mer- chant in segregated 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 ...
... Interest of futures commission mer- chant in segregated 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 ...
Página 102
... Interest in or control of several accounts . If any person holds or has a financial interest in or controls more than one account , all such accounts shall be considered by the futures commission merchant or foreign broker as a single ...
... Interest in or control of several accounts . If any person holds or has a financial interest in or controls more than one account , all such accounts shall be considered by the futures commission merchant or foreign broker as a single ...
Página 104
... Interest in or control of several ac- counts . ( a ) Multiple accounts . If any trader holds or has a financial interest in or controls more than one account , whether carried with the same or with different futures commission mer ...
... Interest in or control of several ac- counts . ( a ) Multiple accounts . If any trader holds or has a financial interest in or controls more than one account , whether carried with the same or with different futures commission mer ...
Página 119
... interest provisions of 18 U.S.C. 201 , et seq . , appearing in this subpart C , are not intended to be , and should not be con- strued as , verbatim quotations of the law . § 140.735-2 Policy and enforcement . The maintenance of high ...
... interest provisions of 18 U.S.C. 201 , et seq . , appearing in this subpart C , are not intended to be , and should not be con- strued as , verbatim quotations of the law . § 140.735-2 Policy and enforcement . The maintenance of high ...
Página 120
... interest that would interfere with an unbiased exercise of official judgment . ( c ) Matters not prohibited . This sec- tion does not preclude a member or employee from having a financial in- terest or engaging in financial transac ...
... interest that would interfere with an unbiased exercise of official judgment . ( c ) Matters not prohibited . This sec- tion does not preclude a member or employee from having a financial in- terest or engaging in financial transac ...
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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