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 5
... term means any day other than a Sunday or holi- day . In all notices required by the act or by the rules and regulations in this chapter to be given in terms of busi- ness days the rule for computing time shall be to exclude the day on ...
... term means any day other than a Sunday or holi- day . In all notices required by the act or by the rules and regulations in this chapter to be given in terms of busi- ness days the rule for computing time shall be to exclude the day on ...
Página 6
... term does not include any sale of a cash com- modity for deferred shipment or deliv- ery . ( p ) Futures commission merchant . This term means ( 1 ) individuals , asso- ciations , partnerships , corporations , and trusts engaged in ...
... term does not include any sale of a cash com- modity for deferred shipment or deliv- ery . ( p ) Futures commission merchant . This term means ( 1 ) individuals , asso- ciations , partnerships , corporations , and trusts engaged in ...
Página 8
... term means any person who ( as provided in section 4k of the Act ) is associated with any futures commissio chant or with any agent of a commission merchant as a part ficer , or employee ( or any perso pying a similar status or peri ...
... term means any person who ( as provided in section 4k of the Act ) is associated with any futures commissio chant or with any agent of a commission merchant as a part ficer , or employee ( or any perso pying a similar status or peri ...
Página 16
... term in accord with generally accepted accounting principles . ( 3 ) A loan or advance or any other form of receivable shall not be consid- ered secured unless the following con- ditions exist : ( i ) The receivable is secured by col ...
... term in accord with generally accepted accounting principles . ( 3 ) A loan or advance or any other form of receivable shall not be consid- ered secured unless the following con- ditions exist : ( i ) The receivable is secured by col ...
Página 19
... term liabilities and the total of his net worth . Such computation must be prepared no later than 15 days after the applicant's month - end closing date ; and the applicant must promptly thereafter inform the Com- mission of the sum of ...
... term liabilities and the total of his net worth . Such computation must be prepared no later than 15 days after the applicant's month - end closing date ; and the applicant must promptly thereafter inform the Com- mission of the sum of ...
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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