The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1987 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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1.5. rezultāts no 10.
27. lappuse
... graph ( a ) ( 2 ) ( i ) of this section , each person registered as a futures commis- sion merchant must maintain adjusted net capital equal to or in excess of the greatest of : ( A ) $ 50,000 ( $ 100,000 for each person registered as a ...
... graph ( a ) ( 2 ) ( i ) of this section , each person registered as a futures commis- sion merchant must maintain adjusted net capital equal to or in excess of the greatest of : ( A ) $ 50,000 ( $ 100,000 for each person registered as a ...
37. lappuse
... graph ( h ) ( 2 ) ( vi ) ( C ) of this section or reduction by the applicant or regis- trant as provided for in paragraph ( h ) ( 2 ) ( vii ) of this section , of all or any part of the unpaid principal amount of the secured demand note ...
... graph ( h ) ( 2 ) ( vi ) ( C ) of this section or reduction by the applicant or regis- trant as provided for in paragraph ( h ) ( 2 ) ( vii ) of this section , of all or any part of the unpaid principal amount of the secured demand note ...
55. lappuse
... graph ( e ) of this section , use those time periods for trades occurring during the opening and closing peri- ods . Contract market rules in effect prior to the effective date of this para- graph ( g ) upon which a contract market ...
... graph ( e ) of this section , use those time periods for trades occurring during the opening and closing peri- ods . Contract market rules in effect prior to the effective date of this para- graph ( g ) upon which a contract market ...
87. lappuse
... graph ( a ) ( 1 ) of this section must be ac- companied by a Form 8 - R , completed in accordance with the instructions thereto and executed by each natural person who is a principal of the appli- cant , and must be accompanied by the ...
... graph ( a ) ( 1 ) of this section must be ac- companied by a Form 8 - R , completed in accordance with the instructions thereto and executed by each natural person who is a principal of the appli- cant , and must be accompanied by the ...
88. lappuse
... graphs ( c ) or ( d ) of this section . ( b ) Duration of registration . A person registered in accordance with ... graph ( c ) of this section must be ac- companied by the fingerprints of the applicant on a fingerprint card provid ...
... graphs ( c ) or ( d ) of this section . ( b ) Duration of registration . A person registered in accordance with ... graph ( c ) of this section must be ac- companied by the fingerprints of the applicant on a fingerprint card provid ...
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accordance action Administrative Law Judge agency agreement applicant or registrant associated person authority Budget under control business day cash chant chapter Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number 3038 copy customer funds debtor demand note Director disclosure Division of Trading documents effective date employee Federal fees filed foreign broker future delivery futures commission merchant futures contract Futures Trading graph hearing introducing broker leverage contract leverage customer leverage transaction merchant Management and Budget ment mission modity National Futures Association notice Office of Management OMB number option customer option transaction otherwise Ownership Equity paragraph party position procedure purchase pursuant records regis regulations request revised rules securities self-regulatory organization specified statement strike price suant submit subordination agreement Subpart subpoena thereof tion tomer Trading and Markets
Populāri fragmenti
267. lappuse - 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.
267. lappuse - ... (1) to employ any device, scheme, or artifice to defraud, (2) 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...
349. 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.
237. lappuse - ... when the agency for good cause finds (and incorporates the finding and a brief statement of reasons therefor in the rules issued) that notice and public procedure thereon are impracticable, unnecessary, or contrary to the public interest.
199. lappuse - Sunday or a legal holiday, in which event the period runs until the end of the next day which is neither a Saturday, Sunday nor a legal holiday.
174. lappuse - 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.
168. lappuse - 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.
177. lappuse - 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.
181. lappuse - 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...
6. lappuse - The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust within the scope of his employment or office shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust, as well as of such official, agent, or other person. The words "interstate commerce...