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
... paragraph ( b ) of this section shall not apply to any person succeeding to and continuing the business of another futures com- mission merchant . Each such person who files an application for registra- tion as a futures commission ...
... paragraph ( b ) of this section shall not apply to any person succeeding to and continuing the business of another futures com- mission merchant . Each such person who files an application for registra- tion as a futures commission ...
Página 26
... paragraph ( g ) of this section . Except as otherwise approved by the Commis- sion for good cause shown , the record required by this paragraph ( e ) of this section shall be maintained in format and coding structure approved by the ...
... paragraph ( g ) of this section . Except as otherwise approved by the Commis- sion for good cause shown , the record required by this paragraph ( e ) of this section shall be maintained in format and coding structure approved by the ...
Página 31
... paragraph ( b ) of this section , and is exempt from the requirement of sec- tion 5a ( 12 ) of the Act that it be sub- mitted and approved by the Commis- sion prior to being placed into effect by the contract market , where such rule is ...
... paragraph ( b ) of this section , and is exempt from the requirement of sec- tion 5a ( 12 ) of the Act that it be sub- mitted and approved by the Commis- sion prior to being placed into effect by the contract market , where such rule is ...
Página 145
... paragraph ( a ) of § 146.6 , except disclosures made with the consent of the individual to whom the record pertains [ paragraph ( a ) ( 1 ) of this section ] , disclosures to author- ized employees [ paragraph ( a ) ( 2 ) of this ...
... paragraph ( a ) of § 146.6 , except disclosures made with the consent of the individual to whom the record pertains [ paragraph ( a ) ( 1 ) of this section ] , disclosures to author- ized employees [ paragraph ( a ) ( 2 ) of this ...
Página 145
... paragraph ( a ) of § 146.6 , except disclosures made with the consent of the individual to whom the record pertains [ paragraph ( a ) ( 1 ) of this section ] , disclosures to author- ized employees [ paragraph ( a ) ( 2 ) of this ...
... paragraph ( a ) of § 146.6 , except disclosures made with the consent of the individual to whom the record pertains [ paragraph ( a ) ( 1 ) of this section ] , disclosures to author- ized employees [ paragraph ( a ) ( 2 ) of this ...
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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