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 11
... receiving the financial reports necessitated by such minimum financial and related reporting requirements from such ... received by a futures commission merchant or by a clearing organization from , for , or on behalf of , customers or ...
... receiving the financial reports necessitated by such minimum financial and related reporting requirements from such ... received by a futures commission merchant or by a clearing organization from , for , or on behalf of , customers or ...
Página 12
... received , directly or indirectly by a leverage transaction merchant from , for , or on behalf of leverage customers to margin , guarantee or secure lever- age contracts and all money , securities and property accruing to such custom ...
... received , directly or indirectly by a leverage transaction merchant from , for , or on behalf of leverage customers to margin , guarantee or secure lever- age contracts and all money , securities and property accruing to such custom ...
Página 13
... received , plus any other funds required to guarantee or secure open transactions plus or minus any unrealized gain or loss on such trans- actions . ( ss ) Foreign board of trade . This term means any board of trade , ex- change or ...
... received , plus any other funds required to guarantee or secure open transactions plus or minus any unrealized gain or loss on such trans- actions . ( ss ) Foreign board of trade . This term means any board of trade , ex- change or ...
Página 15
... received by the re- gional office of the Commission near- est the principal place of business of the registrant ( except that a regis- trant under the jurisdiction of the Commission's Western Regional Office must file such reports with ...
... received by the re- gional office of the Commission near- est the principal place of business of the registrant ( except that a regis- trant under the jurisdiction of the Commission's Western Regional Office must file such reports with ...
Página 17
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) or ( b ) ( 4 ) of this section or § 1.12 ( b ) for filing the report . Notice of such application must be given to the designated self- regulatory ...
... received by the Commission before the time specified in paragraphs ( b ) ( 1 ) or ( b ) ( 4 ) of this section or § 1.12 ( b ) for filing the report . Notice of such application must be given to the designated self- regulatory ...
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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.