The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1997 The Code of Federal Regulations is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. |
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Página 15
... initial cer- tified Form 1 - FR - IB . In such a case , the introducing broker's Form 1 - FR - IB filed as of the close of the second fiscal year - end following the as of date of its initial certified Form 1 - FR - IB must cover the ...
... initial cer- tified Form 1 - FR - IB . In such a case , the introducing broker's Form 1 - FR - IB filed as of the close of the second fiscal year - end following the as of date of its initial certified Form 1 - FR - IB must cover the ...
Página 20
... initial registration as an in- troducing broker shall become effec- tive as of the date agreed to by the par- ties . ( 4 ) ( i ) If the registration of the intro- ducing broker is suspended , revoked , or withdrawn in accordance with ...
... initial registration as an in- troducing broker shall become effec- tive as of the date agreed to by the par- ties . ( 4 ) ( i ) If the registration of the intro- ducing broker is suspended , revoked , or withdrawn in accordance with ...
Página 48
... initial margin require- ment : Provided , The equity in any such proprietary account shall reduce the deduction required by this paragraph ( c ) ( 5 ) ( x ) if such equity is not otherwise includable in adjusted net capital ; ( xi ) In ...
... initial margin require- ment : Provided , The equity in any such proprietary account shall reduce the deduction required by this paragraph ( c ) ( 5 ) ( x ) if such equity is not otherwise includable in adjusted net capital ; ( xi ) In ...
Página 90
... initial specifications of , and changes to , op- tion cabinet trade provisions shall be deemed approved by the Commission 10 days after written notice of such change is received by the Commission if : ( i ) The initial specification of ...
... initial specifications of , and changes to , op- tion cabinet trade provisions shall be deemed approved by the Commission 10 days after written notice of such change is received by the Commission if : ( i ) The initial specification of ...
Página 99
... Initial statement . Initial state- ments concerning the classification of transactions and positions as bona fide hedging pursuant to §1.3 ( z ) ( 3 ) shall be filed with the Commission at least 30 days in advance of the date that such ...
... Initial statement . Initial state- ments concerning the classification of transactions and positions as bona fide hedging pursuant to §1.3 ( z ) ( 3 ) shall be filed with the Commission at least 30 days in advance of the date that such ...
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Términos y frases comunes
accordance action Administrative Law Judge amount applicant or registrant approved authority board of trade Budget under control business days cash chant chapter cluding Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract mar contract market control number copy customer funds decision demand note designated self-regulatory Director disciplinary disclosure documents employee Exchange Act exemption floor broker floor trader foreign futures future delivery futures commission merchant futures contract graph introducing broker istrant leverage contract leverage customer leverage transaction merchant ment mission merchant modity National Futures Association Office option customer otherwise Ownership Equity party position prior procedures Proceedings Clerk purchase pursuant to paragraph records regulations request rules securities self-regulatory organization sion specified statement strike price suant submitted subordination agreement Subpart thereof tion tomer tract market trans tures commission merchant
Pasajes populares
Página 289 - 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, a Sunday, or a legal holiday...
Página 458 - ... (B) statements of the general course and method by which its functions are channeled and determined, including the nature and requirements of all formal and informal procedures available; (C) rules of procedure, descriptions of forms available or the places at which forms may be obtained and instructions as to the scope and contents of all papers, reports, or examinations...
Página 363 - ... (a) To employ any device, scheme, or artifice to defraud, (b) 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 476 - ... (7) maintain no record describing how any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity...
Página 263 - 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 7 - ... or acceptance of orders, accepts any money, securities, or property (or extends credit in lieu thereof) to margin, guarantee, or secure any trades or contracts that result or may result therefrom. The words "floor broker...
Página 303 - If objection is made, the reasons therefor shall be stated. 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 263 - Upon motion of a party the court may, upon reasonable notice and upon such terms as are just, permit him to serve a supplemental pleading setting forth transactions or occurrences or events which have happened since the date of the pleading sought to be supplemented.
Página 274 - Supporting and opposing affidavits shall be made on personal knowledge, shall set forth such facts as would be admissible in evidence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein.
Página 476 - ... (B) the name and address of the person or agency to whom the disclosure is made; (2) retain the accounting made under paragraph (1) of this subsection for at least five years or the life of the record, whichever is longer, after the disclosure for which the accounting is made...