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 6
... person who , in or surrounding any pit , ring , post , or other place provided by a contract market for the meeting of persons similarly engaged , shall purchase or sell for any other person any commodity for future delivery on or ...
... person who , in or surrounding any pit , ring , post , or other place provided by a contract market for the meeting of persons similarly engaged , shall purchase or sell for any other person any commodity for future delivery on or ...
Página 8
... person , provided that such transactions and positions in the five last trading days of any one future do not exceed the person's unfilled anticipated require- ments of the same cash commodity for that month and for the next succeed ...
... person , provided that such transactions and positions in the five last trading days of any one future do not exceed the person's unfilled anticipated require- ments of the same cash commodity for that month and for the next succeed ...
Página 8
... person as a futures commission mer- chant under the Act and such registra- tion has not expired and is not under suspension or revocation : Provided however , That a person trading solely for proprietary accounts within the meaning of ...
... person as a futures commission mer- chant under the Act and such registra- tion has not expired and is not under suspension or revocation : Provided however , That a person trading solely for proprietary accounts within the meaning of ...
Página 8
... person who files an application for registra- tion as a futures commission merchant and who is not so registered at ... person's financial con- ditions . ( d ) Except as provided in paragraph ( e ) of this section , each person regis ...
... person who files an application for registra- tion as a futures commission merchant and who is not so registered at ... person's financial con- ditions . ( d ) Except as provided in paragraph ( e ) of this section , each person regis ...
Página 9
... person who is a general partner , officer , director or branch officer manager of the appli- cant , or performs similar functions , or is any other controlling person of the applicant ; except that an accompany- ing Form 8 - R need not ...
... person who is a general partner , officer , director or branch officer manager of the appli- cant , or performs similar functions , or is any other controlling person of the applicant ; except that an accompany- ing Form 8 - R need not ...
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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