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 5
... option transactions . 1.36 Record of securities and property re- ceived from customers and option cus- tomers . 1.37 Customer's or option customer's name , address , and occupation recorded ; record of guarantor or controller of account ...
... option transactions . 1.36 Record of securities and property re- ceived from customers and option cus- tomers . 1.37 Customer's or option customer's name , address , and occupation recorded ; record of guarantor or controller of account ...
Página 8
... option trading account carried on the books and records of an individ- ual , a partnership , corporation or other ... option customers of such partnership , ( C ) The keeping of records pertaining to the trades or customer funds of cus ...
... option trading account carried on the books and records of an individ- ual , a partnership , corporation or other ... option customers of such partnership , ( C ) The keeping of records pertaining to the trades or customer funds of cus ...
Página 10
... option customers ' orders ( other than in a clerical capacity ) or ( ii ) the supervision of any person or persons so engaged ; ( 2 ) An introducing broker as a part- ner , officer , employee , or agent ( or any natural person occupying ...
... option customers ' orders ( other than in a clerical capacity ) or ( ii ) the supervision of any person or persons so engaged ; ( 2 ) An introducing broker as a part- ner , officer , employee , or agent ( or any natural person occupying ...
Página 11
... option customers , in connection with a commodity option transaction on or subject to the rules of a contract market : ( i ) To be used as a premium for the purchase of a commodity option for an option customer ; ( ii ) As a premium ...
... option customers , in connection with a commodity option transaction on or subject to the rules of a contract market : ( i ) To be used as a premium for the purchase of a commodity option for an option customer ; ( ii ) As a premium ...
Página 43
... option customer ( as defined in §1.3 ( jj ) of this part and in §32.1 ( c ) of this chapter ) and includes a foreign futures and foreign options cus- tomer ( as defined in §30.1 ( c ) of this chapter ) . ( 3 ) Proprietary account means ...
... option customer ( as defined in §1.3 ( jj ) of this part and in §32.1 ( c ) of this chapter ) and includes a foreign futures and foreign options cus- tomer ( as defined in §30.1 ( c ) of this chapter ) . ( 3 ) Proprietary account means ...
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Términos y frases comunes
accordance action Administrative Law Judge agreement amended at 46 amount ance applicant or registrant approved assets associated person board of trade Budget under control cash chant chapter clude Commis Commodity Exchange Act commodity interest commodity option commodity pool operator commodity trading advisor contract mar contract market control number copy customer funds deemed demand note designated self-regulatory Director disciplinary Disclosure Document exemption filed floor broker floor trader foreign futures Form 8-R future delivery futures commission merchant futures contract graph hearing introducing broker istrant leverage contract leverage customer leverage transaction merchant ment mission merchant modity motion National Futures Association Office option customer participant party principal procedures Proceedings Clerk pursuant to paragraph pursuant to section record regulations request rules securities self-regulatory organization sion specified statement strike price suant submitted subordination agreement Subpart subpoena thereof tion tomer tract market 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...