The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1967 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 41
... transactions executed on that day , including the date , price , quantity , mar- ket , commodity , future , and the person for whom such transaction was made . ( c ) Clearing members of contract markets . In the daily record or journal ...
... transactions executed on that day , including the date , price , quantity , mar- ket , commodity , future , and the person for whom such transaction was made . ( c ) Clearing members of contract markets . In the daily record or journal ...
Página 42
... transaction was executed and the opposite clearing mem- ber ( if , in accordance with the rules or practice of the contract market such opposite clearing member is made known to him ) . ( 2 ) Board trading . Where such trad- ing is ...
... transaction was executed and the opposite clearing mem- ber ( if , in accordance with the rules or practice of the contract market such opposite clearing member is made known to him ) . ( 2 ) Board trading . Where such trad- ing is ...
Página 43
... transactions , shall identify and mark by appropriate symbol or designa- tion all such transactions or contracts and ... transaction showing the date , price , quantity , kind of commodity , delivery month , by whom executed , and the ...
... transactions , shall identify and mark by appropriate symbol or designa- tion all such transactions or contracts and ... transaction showing the date , price , quantity , kind of commodity , delivery month , by whom executed , and the ...
Página 45
... transactions involved . ( b ) Close - out against oldest open position . In all instances wherein the short or long ... transaction shall be ap- plied as specified by the customer with- out regard to the date of acquisition of the ...
... transactions involved . ( b ) Close - out against oldest open position . In all instances wherein the short or long ... transaction shall be ap- plied as specified by the customer with- out regard to the date of acquisition of the ...
Página 50
... transactions and shall be transmitted to the Com- modity Exchange Authority at least once each week . Foreign brokers in Canada or Mexico shall transmit such reports to the Commodity Exchange Authority office in the city in which is ...
... transactions and shall be transmitted to the Com- modity Exchange Authority at least once each week . Foreign brokers in Canada or Mexico shall transmit such reports to the Commodity Exchange Authority office in the city in which is ...
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Términos y frases comunes
48 Stat account shall include affiliates aggregate amended amount annual report application appropriate assets associate companies balance sheet broker or dealer capital surplus caption cash certificates Column Commis Commodity Commodity Exchange Act Company Act consolidated contract market copies curities deemed deposited director dividends documents effective date employee equity securities exemption exhibits financial statements fiscal funds furnished futures commission merchant holding company income Instructions interest Investment Company issued issuer Item material ment Microphoto national securities exchange options otherwise pany paragraph party period person prior proceeding profit and loss prospectus proxy proxy statement purchase pursuant to section quired records reference regis registration statement respect Schedule secu Securities Act Securities Exchange Act security holders service of process shares sion solicitation specified suant Subpart subsidiaries surplus term thereof thereto tion trading transaction trust underwriter unless voting trustees
Pasajes populares
Página 114 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Página 320 - ... 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...
Página 115 - ... that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
Página 104 - Coercion. A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.
Página 32 - The order shall be issued and served upon the parties as the final order in the proceeding without further procedure: Provided, That, if the terms of the order differ substantially from those proposed in the report of the...
Página 357 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication...
Página 334 - affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified.
Página 12 - ... to the relevant pages of the transcript, and suggesting a corrected finding of fact, conclusion, or order. Within the same period of time, each party shall transmit to the hearing clerk a brief statement in writing...
Página 228 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
Página 228 - control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...