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, 1980 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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1.5. rezultāts no 80.
11. lappuse
... suant to paragraph ( b ) ( 2 ) of this sec- tion must be filed no later than 90 days after the close of each regis- trant's fiscal year . This paragraph ( b ) ( 1 ) will be applicable to all fiscal quarters ending after the effective ...
... suant to paragraph ( b ) ( 2 ) of this sec- tion must be filed no later than 90 days after the close of each regis- trant's fiscal year . This paragraph ( b ) ( 1 ) will be applicable to all fiscal quarters ending after the effective ...
34. lappuse
... suant to the Act and these regulations or for securities brokers or dealers , 7 percent of the aggregate debit items computed pursuant to § 240.15c3-3 of this title , or in the case of any appli- cant or registrant included within such ...
... suant to the Act and these regulations or for securities brokers or dealers , 7 percent of the aggregate debit items computed pursuant to § 240.15c3-3 of this title , or in the case of any appli- cant or registrant included within such ...
35. lappuse
... suant to this section except as pro- vided in paragraph ( f ) ( 2 ) ( i ) of this sec- tion . ( g ) A registrant may elect not to be subject to the limitations of paragaph ( a ) of this section respecting aggregate indebtedness as ...
... suant to this section except as pro- vided in paragraph ( f ) ( 2 ) ( i ) of this sec- tion . ( g ) A registrant may elect not to be subject to the limitations of paragaph ( a ) of this section respecting aggregate indebtedness as ...
51. lappuse
... suant to the provisions of § 1.35a- ( T ) ( a ) , each member of that contract market which is required to prepare a trading card or other record of pur- chases and sales in accordance with § 1.35 ( d ) must include as part of 51 ...
... suant to the provisions of § 1.35a- ( T ) ( a ) , each member of that contract market which is required to prepare a trading card or other record of pur- chases and sales in accordance with § 1.35 ( d ) must include as part of 51 ...
53. lappuse
... suant to such selling order posts an offer on the board and , incident to the execution of such buying order , ac- cepts such offer and all other offers posted at prices equal to or lower than the offer posted by him ; ( 3 ) Such member ...
... suant to such selling order posts an offer on the board and , incident to the execution of such buying order , ac- cepts such offer and all other offers posted at prices equal to or lower than the offer posted by him ; ( 3 ) Such member ...
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49 Stat Administrative Law Judge amended appear applicant or registrant assets authority briefs broker ceeding chapter cial cluding Commis Commission's Commodity Exchange Act Commodity Futures commodity interest commodity pool operator commodity trading advisor Company Act complaint contract market copies costs counsel deemed demand note determination Director disclosure documents ex parte communication Executive exemption fees filed future delivery futures commission merchant Futures Trading Hearing Clerk hearing officer initial decision investigation issue July 15 matter ment mission modity motion notice option oral Ownership Equity paragraph participants party period person petition pool's position prior procedures proceeding pursuant to Rule pursuant to section quired record regulations request response Securities Exchange Act self-regulatory self-regulatory organization served sion specified spect staff statement suant subordination agreement Subpart subpoena thereof tion transactions violation
Populāri fragmenti
119. lappuse - For the purpose of any investigation or any other proceeding under this act, any member of the Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
192. lappuse - ... under common control with, the person specified. (b) Control. The term "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...
95. lappuse - ... (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.
179. lappuse - ... 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.
75. lappuse - ... 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...
161. lappuse - ... other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he Is serving as officer, director, trustee, partner or employee. or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest Shall be fined not more than $10,000, or imprisoned not more than two years, or both.
296. lappuse - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
103. lappuse - A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public Information.
185. lappuse - Commission, 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, Sunday or...
88. lappuse - ... that it was made in the regular course of any business, and that it was the regular course of such business to make such memorandum or record at the time of such act, transaction, occurrence, or event...