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, 2002 |
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Code of Federal Regulations: Containing a Codification of Documents of ... Vizualizare completă - 1976 |
Code of Federal Regulations: Containing a Codification of Documents of ... Vizualizare completă - 1976 |
Code of Federal Regulations: Containing a Codification of Documents of ... Vizualizare completă - 1982 |
Termeni și expresii frecvente
accordance action Administrative Law Judge affiliated agreement amended applicant or registrant authority board of trade business day cash ceeding chant chapter claim clearing organization cluding Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor copy Core Principle customer funds decision delivery derivatives clearing organization Director disciplinary disclosure documents employee Exchange Act exemption filed floor broker floor trader foreign futures futures commission merchant futures contract introducing broker issued istered leverage contract leverage customer leverage transaction merchant ment mission modity National Futures Association notice Office option customer otherwise paragraph participants party prior procedures Proceedings Clerk pursuant to section put option records registered derivatives regulations request rules securities segregated self-regulatory organization sion specified statement strike price suant subordination agreement Subpart thereof tion tomer trans transaction execution facility
Pasaje populare
Pagina 256 - 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...
Pagina 334 - ... (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.
Pagina 483 - ... (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...
Pagina 220 - ... person" includes an individual partnership, corporation, association, or public or private organization other than an agency; (3) "party" includes a person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an agency proceeding, and a person or agency admitted by an agency as a party for limited purposes; (4) "rule...
Pagina 232 - 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.
Pagina 232 - 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.
Pagina 294 - Commission or by such attorneys in his office as he may assign. §14.4 Violation of Commodity Exchange Act. The Commission may deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission, after notice of and opportunity for hearing in the matter, to have violated, caused, or aided and abetted any violation of the Commodity Exchange Act, as amended, 7 USC 1 et seq., or the rules and regulations adopted thereunder.
Pagina 510 - ... participation in a civil action or proceeding, an action in a foreign court or international tribunal, or an arbitration, or the initiation, conduct, or disposition by the...
Pagina 235 - 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, made as a memorandum or record of any act, transaction, occurrence, or event...
Pagina 214 - ... 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.