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
... trust , within the scope of his employment or office , shall be deemed the act , omission , or failure of such individual , association , partnership , corporation , or trust as well as of such official , agent , or other person . ( Sec ...
... trust , within the scope of his employment or office , shall be deemed the act , omission , or failure of such individual , association , partnership , corporation , or trust as well as of such official , agent , or other person . ( Sec ...
Página 20
... trust company , clearing organization of a contract market , or another futures commission merchant , shall be depos- ited under an account name which will clearly show that they are customers ' money , securities , and property , segre ...
... trust company , clearing organization of a contract market , or another futures commission merchant , shall be depos- ited under an account name which will clearly show that they are customers ' money , securities , and property , segre ...
Página 21
... trust company , clearing organization of a contract market , or another fu- tures commission merchant , shall be deposited under an account name which will clearly show that they belong to commodity customers and are segregated as ...
... trust company , clearing organization of a contract market , or another fu- tures commission merchant , shall be deposited under an account name which will clearly show that they belong to commodity customers and are segregated as ...
Página 22
... trust company , shall be deposited under an account name which will clearly show that they belong to commodity customers and are segregated as required by the Act . Each clearing organization upon opening such an account shall obtain ...
... trust company , shall be deposited under an account name which will clearly show that they belong to commodity customers and are segregated as required by the Act . Each clearing organization upon opening such an account shall obtain ...
Página 27
... trust company acting as cus such clearing organization , and / or property which bel particular customer , such fut mission merchant shall obta acknowledgment from such organization that it was info such securities or property b ...
... trust company acting as cus such clearing organization , and / or property which bel particular customer , such fut mission merchant shall obta acknowledgment from such organization that it was info such securities or property b ...
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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