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 3
... procedures for disciplinary , summary , and membership denial actions . 164 9 Rules relating to review of exchange disciplinary , access denial or other adverse actions ..... 171 PEERE 45 10 Rules of practice ............. 181 11 Rules ...
... procedures for disciplinary , summary , and membership denial actions . 164 9 Rules relating to review of exchange disciplinary , access denial or other adverse actions ..... 171 PEERE 45 10 Rules of practice ............. 181 11 Rules ...
Página 4
... procedures of the Commission ........ Indemnification of CFTC employees . .................................... . Collection of claims owed the United States aris- ing from activities under the Commission's ju- risdiction .. Procedures ...
... procedures of the Commission ........ Indemnification of CFTC employees . .................................... . Collection of claims owed the United States aris- ing from activities under the Commission's ju- risdiction .. Procedures ...
Página 25
... procedures deemed necessary by the accountant under the circum- stances of the particular case which have been omitted and the reasons for their omission . However , nothing in this paragraph ( c ) ( 2 ) shall be con- strued to imply ...
... procedures deemed necessary by the accountant under the circum- stances of the particular case which have been omitted and the reasons for their omission . However , nothing in this paragraph ( c ) ( 2 ) shall be con- strued to imply ...
Página 26
... procedures for safe- guarding customer and firm assets , and the practices and procedures re- ferred to in paragraph ( d ) ( 1 ) of this section which is to be reported in ac- cordance with paragraph ( e ) ( 2 ) of this section includes ...
... procedures for safe- guarding customer and firm assets , and the practices and procedures re- ferred to in paragraph ( d ) ( 1 ) of this section which is to be reported in ac- cordance with paragraph ( e ) ( 2 ) of this section includes ...
Página 40
... procedures specified in the provi- sions required by paragraph ( h ) 2 ) vi ) ( B ) of this section , the lender , with the prior written consent of the applicant and the National Fu- tures Association , or with the prior written ...
... procedures specified in the provi- sions required by paragraph ( h ) 2 ) vi ) ( B ) of this section , the lender , with the prior written consent of the applicant and the National Fu- tures Association , or with the prior written ...
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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.