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, 1992 |
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Página 4
... National Futures Asso- ciation decisions in disciplinary , membership denial , registration and member responsibility actions 180 190 Arbitration or other dispute settlement proce- dures ...... Bankruptcy . 191-199 [ Reserved ] 442 456 ...
... National Futures Asso- ciation decisions in disciplinary , membership denial , registration and member responsibility actions 180 190 Arbitration or other dispute settlement proce- dures ...... Bankruptcy . 191-199 [ Reserved ] 442 456 ...
Página 13
... futures customers , money , securities and prop- erty required by a futures commission merchant to margin , guarantee , or secure open foreign futures contracts plus or minus any unrealized gain or loss on such contracts ; and ( 2 ) In ...
... futures customers , money , securities and prop- erty required by a futures commission merchant to margin , guarantee , or secure open foreign futures contracts plus or minus any unrealized gain or loss on such contracts ; and ( 2 ) In ...
Página 14
... futures commission merchant . Each such person who files an application for registration as a futures commission ... National Futures Association either a guarantee agreement with his application for registration or a Form 1 - FR as of ...
... futures commission merchant . Each such person who files an application for registration as a futures commission ... National Futures Association either a guarantee agreement with his application for registration or a Form 1 - FR as of ...
Página 15
... National Fu- tures Association , the Commission or the self - regulatory ... Futures Association and by the regional office of the Commission nearest the ... National Futures Association and the Commission . ( d ) Contents of financial ...
... National Fu- tures Association , the Commission or the self - regulatory ... Futures Association and by the regional office of the Commission nearest the ... National Futures Association and the Commission . ( d ) Contents of financial ...
Página 16
... futures commission mer- chant only , the statements of segrega- tion ... National Fu- tures Association of its election of such fiscal year , in ... National Futures Association and the Commission will be deemed to have elected the ...
... futures commission mer- chant only , the statements of segrega- tion ... National Fu- tures Association of its election of such fiscal year , in ... National Futures Association and the Commission will be deemed to have elected the ...
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Términos y frases comunes
accordance action Administrative Law Judge agreement amount appeal applicant or registrant Approved associated person board of trade Budget under control business day cash ceeding chant Commis Commodity Exchange Act commodity futures commodity interest commodity option commodity pool operator commodity trading advisor complaint contract market control number 3038 copy customer funds demand note designated self-regulatory disciplinary Disclosure documents exemption filed foreign broker foreign futures foreign options Form 1-FR Form 8-R future delivery futures commission merchant futures contract graph hearing initial decision introducing broker issued Judgment Officer leverage contract leverage customer leverage transaction merchant ment modity motion National Futures Association notice option customer oral otherwise party procedures Proceedings Clerk purchase record regis regulations request rules securities self-regulatory organization specified statement strike price suant submit subordination agreement Subpart subpoena thereof thereto 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 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 193 - If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.
Página 188 - 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 191 - 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 195 - 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 355 - 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 182 - In computing any period of time prescribed or allowed by these rules, by the local rules of any district court, by order of court, or by any applicable statute, the day of the act, event, or default from which the designated period of time begins to run shall not be included.
Página 177 - ... 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.
Página 192 - All objections made at the time of the examination to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the officer upon the deposition. Evidence objected to shall be taken subject to the objections.