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 40
... proceedings to which the contract market is a party or its property or assets is sub- ject . ( b ) Every contract ... proceeding referred paragraphs ( a ) , ( b ) , and ( c ) of t tion . The notification must incl formation regarding ...
... proceedings to which the contract market is a party or its property or assets is sub- ject . ( b ) Every contract ... proceeding referred paragraphs ( a ) , ( b ) , and ( c ) of t tion . The notification must incl formation regarding ...
Página 42
... proceeding wit protection for the rights of all p therein . § 10.2 Definitions . For purposes of this part : ( a ) " Act " means the Commodit change Act , as amended , 7 U.S.C seq .; procee ( b ) " Adjudicatory means a judicial - type ...
... proceeding wit protection for the rights of all p therein . § 10.2 Definitions . For purposes of this part : ( a ) " Act " means the Commodit change Act , as amended , 7 U.S.C seq .; procee ( b ) " Adjudicatory means a judicial - type ...
Página 43
... proceeding or otherwise ; ( g ) " Division of Enforcement " means that office in the Commission that prosecutes a complaint issued by the Commission ; ( h ) " Hearing " means that part of a proceeding which involves the submis- sion of ...
... proceeding or otherwise ; ( g ) " Division of Enforcement " means that office in the Commission that prosecutes a complaint issued by the Commission ; ( h ) " Hearing " means that part of a proceeding which involves the submis- sion of ...
Página 44
... proceedings within the scope of this Part shall be assigned to an Administrative Law Judge for hearing . If the Commission deter- mines that a proceeding within the scope of this subpart shall be conduct- ed before a Presiding Officer ...
... proceedings within the scope of this Part shall be assigned to an Administrative Law Judge for hearing . If the Commission deter- mines that a proceeding within the scope of this subpart shall be conduct- ed before a Presiding Officer ...
Página 45
... proceeding shall , in that pro- ceeding or a factually related proceed- ing , participate or advise in the deci- sion of the Administrative Law Judge , except as a witness or counsel in the proceedings , without the express writ- ten ...
... proceeding shall , in that pro- ceeding or a factually related proceed- ing , participate or advise in the deci- sion of the Administrative Law Judge , except as a witness or counsel in the proceedings , without the express writ- ten ...
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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