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 10
... Participation in commodity option transactions by the registrant . New domestic branch offices and new correspondents and agents who are operating within the United and are authorized to solicit or orders on behalf of the future mission ...
... Participation in commodity option transactions by the registrant . New domestic branch offices and new correspondents and agents who are operating within the United and are authorized to solicit or orders on behalf of the future mission ...
Página 12
... Participation in commodity option transactions by the registrant . New domestic branch offices and new correspondents and agents who are operating within the United States and are authorized to solicit or accept orders on behalf of the ...
... Participation in commodity option transactions by the registrant . New domestic branch offices and new correspondents and agents who are operating within the United States and are authorized to solicit or accept orders on behalf of the ...
Página 41
... Participation 10.31 Parties . 10.32 Substitution of parties . 10.33 Intervention as a party . 10.34 10.35 Limited participation . Permission to state views . 10.36 Commission review of rulings . Subpart D - Prehearing Procedures ...
... Participation 10.31 Parties . 10.32 Substitution of parties . 10.33 Intervention as a party . 10.34 10.35 Limited participation . Permission to state views . 10.36 Commission review of rulings . Subpart D - Prehearing Procedures ...
Página 45
... participate or advise in the deci- sion of the Administrative Law Judge , except as a witness or counsel in the proceedings ... participation or to state views in a proceeding by the Commission . ( b ) Prohibitions against ex parte ...
... participate or advise in the deci- sion of the Administrative Law Judge , except as a witness or counsel in the proceedings ... participation or to state views in a proceeding by the Commission . ( b ) Prohibitions against ex parte ...
Página 50
... Participation § 10.31 Parties . The parties to an adjudicatory pro- ceeding shall include the Division of Enforcement , each respondent named in the complaint and each person per- mitted to intervene pursuant to § 10.33 of these rules ...
... Participation § 10.31 Parties . The parties to an adjudicatory pro- ceeding shall include the Division of Enforcement , each respondent named in the complaint and each person per- mitted to intervene pursuant to § 10.33 of these rules ...
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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