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 19
... separately accounted for COMMISSION. § 1.18 Records for and relating to finan- cial reporting and monthly computa- tion . ( a ) No person shall be registered as a futures commission merchant under the Act unless , commencing on the date ...
... separately accounted for COMMISSION. § 1.18 Records for and relating to finan- cial reporting and monthly computa- tion . ( a ) No person shall be registered as a futures commission merchant under the Act unless , commencing on the date ...
Página 20
... separately accounted for and segregated as belonging to such customers , and such clearing organiza- tion shall not hold , use or dispose of such money , securities , and property except as belonging to such customers . Such money ...
... separately accounted for and segregated as belonging to such customers , and such clearing organiza- tion shall not hold , use or dispose of such money , securities , and property except as belonging to such customers . Such money ...
Página 21
... separately account for such obliga- tions and segregate such obligations as belonging to such customers . Such ob- ligations when deposited with a bank , trust company , clearing organization of a contract market , or another fu- tures ...
... separately account for such obliga- tions and segregate such obligations as belonging to such customers . Such ob- ligations when deposited with a bank , trust company , clearing organization of a contract market , or another fu- tures ...
Página 25
... separately for each account ( including proprietary accounts ) all commodity futures transactions ex- ecuted for such account , including the date , price , quantity , market , ity and future ; and ( 3 ) A record or journal w show ...
... separately for each account ( including proprietary accounts ) all commodity futures transactions ex- ecuted for such account , including the date , price , quantity , market , ity and future ; and ( 3 ) A record or journal w show ...
Página 27
... separately for each custom- er , a description of the securities or property received , the name and ad- dress of such customer , the dates when the securities or property were received , the identity of the deposi- tories or other ...
... separately for each custom- er , a description of the securities or property received , the name and ad- dress of such customer , the dates when the securities or property were received , the identity of the deposi- tories or other ...
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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