Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexU.S. General Services Administration, National Archives and Records Service, Office of the Federal Register, 1993 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 12
... applicant for registration as an introducing broker on behalf of an introducing broker or applicant for registration as an intro- ducing broker in satisfaction of the al- ternative adjusted net capital require- ment set forth in § 1.17 ...
... applicant for registration as an introducing broker on behalf of an introducing broker or applicant for registration as an intro- ducing broker in satisfaction of the al- ternative adjusted net capital require- ment set forth in § 1.17 ...
Página 13
... applicant for registration as an introducing broker , in order to satisfy any requirement in this part that it file a Form 1 - FR , must file a Form 1 - FR - IB , and any reference in this part to Form 1 - FR with respect to an ...
... applicant for registration as an introducing broker , in order to satisfy any requirement in this part that it file a Form 1 - FR , must file a Form 1 - FR - IB , and any reference in this part to Form 1 - FR with respect to an ...
Página 15
... applicant for registration as an introducing broker which has filed concurrently with its application for ... applicant for registration will be considered filed when received by the National Futures Association and by the regional ...
... applicant for registration as an introducing broker which has filed concurrently with its application for ... applicant for registration will be considered filed when received by the National Futures Association and by the regional ...
Página 16
... applicant filing pursuant to paragraph ( a ) ( 2 ) of this section the period must be the year ending as of the date of the state- ment of financial condition ; ( iii ) A statement of the computation of the minimum capital requirements ...
... applicant filing pursuant to paragraph ( a ) ( 2 ) of this section the period must be the year ending as of the date of the state- ment of financial condition ; ( iii ) A statement of the computation of the minimum capital requirements ...
Página 17
... applicant under the jurisdiction of the Commis- sion's Western Regional Office must file such a notice with the Commis- sion's Southwestern Regional Office ) . An applicant which does not so notify the National Futures Association and ...
... applicant under the jurisdiction of the Commis- sion's Western Regional Office must file such a notice with the Commis- sion's Southwestern Regional Office ) . An applicant which does not so notify the National Futures Association and ...
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Términos y frases comunes
accordance action Administrative Law Judge agency agreement amount appeal applicant or registrant associated person authority board of trade Budget under control business day cash chant chapter claim Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number 3038 copy customer funds debtor demand note Director disciplinary disclosure documents employee exemption Federal fees filed foreign futures futures commission merchant futures contract Futures Trading graph hearing introducing broker leverage contract leverage customer leverage transaction merchant ment mission modity motion National Futures Association notice option contract option customer option transaction otherwise Ownership Equity party petition position prior procedures Proceedings Clerk purchase records regis regulations request rules securities self-regulatory organization sion specified statement strike price suant submit subordination agreement Subpart thereof tion tomer tures commission merchant unless
Pasajes populares
Página 289 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 210 - ... at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.
Página 289 - ... to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 189 - AMENDMENTS. A party may amend his pleading once as a matter of course at any time before a responsive pleading is served or, if the pleading is one to which no responsive pleading is permitted and the action has not been placed upon the trial calendar, he may so amend it at any time within 20 days after it is served. Otherwise a party may amend his pleading only by leave of court or by written consent of the adverse party; and leave shall be freely given when justice so requires.
Página 217 - In computing any period of time prescribed or allowed by these rules, by order of court, or by any applicable statute, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, Sunday or a legal holiday, in which event the period runs until the end of the next day which is neither a Saturday, Sunday nor a legal holiday.
Página 192 - The answer shall specifically deny the matter or set forth in detail the reasons why the answering party cannot truthfully admit or deny the matter.
Página 196 - That in any court of the United States and in any court established by Act of Congress, any writing or record, whether in the form of an entry in a book or otherwise...
Página 196 - A written statement signed by an officer having the custody of an official record, or by his deputy, that after diligent search no record or entry of a specified tenor is found to exist in the records of his office, accompanied by a certificate as above provided, is admissible as evidence that the records of his office contain no such record or entry.
Página 359 - Columbia, from continuing to participate in a bona fide pension, retirement, group life, health or accident insurance, profit-sharing, stock bonus, or other employee welfare or benefit plan maintained by a former employer.
Página 179 - ... shall expire by its terms within such time after entry, not to exceed 10 days, as the court fixes, unless within the time so fixed the order, for good cause shown, is extended for a like period or unless the party against whom the order is directed consents that it may be extended for a longer period.