The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1999 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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Page 114
... court of com- petent jurisdiction , and has not been reversed by the Commission or any court of competent jurisdiction ; or , ( ii ) Any decision by an administra- tive law judge , a court of competent ju- risdiction or the Commission ...
... court of com- petent jurisdiction , and has not been reversed by the Commission or any court of competent jurisdiction ; or , ( ii ) Any decision by an administra- tive law judge , a court of competent ju- risdiction or the Commission ...
Page 115
... law judge , a court of competent juris- diction or the Commission to have committed a disciplinary offense ; ( 2 ) Entered into a settlement agree- ment within the prior three years in which any of the findings or , in the ab- sence of ...
... law judge , a court of competent juris- diction or the Commission to have committed a disciplinary offense ; ( 2 ) Entered into a settlement agree- ment within the prior three years in which any of the findings or , in the ab- sence of ...
Page 119
... Law Judge issues an in- terim order suspending the no - action position as to such floor trader in ac- cordance with paragraph ( b ) of this sec- tion or the application for registration is withdrawn . ( b ) Suspension of no - action ...
... Law Judge issues an in- terim order suspending the no - action position as to such floor trader in ac- cordance with paragraph ( b ) of this sec- tion or the application for registration is withdrawn . ( b ) Suspension of no - action ...
Page 120
... Law Judge . A determination by the Ad- ministrative Law Judge as to whether the floor trader is subject to a statu- tory disqualification must be based upon the evidence of the statutory dis- qualification , notice with proof of serv ...
... Law Judge . A determination by the Ad- ministrative Law Judge as to whether the floor trader is subject to a statu- tory disqualification must be based upon the evidence of the statutory dis- qualification , notice with proof of serv ...
Page 126
... Law Judge or the Commission . 3.64 Procedure to lift or modify conditions or restrictions . Subpart D - Notice Under Section 4k ( 5 ) of the Act 3.70 Notification of certain information re- garding associated persons . Subpart E ...
... Law Judge or the Commission . 3.64 Procedure to lift or modify conditions or restrictions . Subpart D - Notice Under Section 4k ( 5 ) of the Act 3.70 Notification of certain information re- garding associated persons . Subpart E ...
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Common terms and phrases
accordance action Administrative Law Judge agency amended amount applicant or registrant associated person authority board of trade business days cash ceeding chant chapter claim cluding Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number copy customer funds decision demand note designated self-regulatory Director disciplinary disclosure documents employee Exchange Act exemption Federal filed floor broker floor trader foreign futures Form futures commission merchant futures contract graph introducing broker istrant leverage contract leverage customer leverage transaction merchant margin ment modity National Futures Association notice Office option contract option customer otherwise Ownership Equity party prior procedures Proceedings Clerk purchase records regulations request rules securities segregated self-regulatory organization sion specified statement strike price suant subordination agreement Subpart thereof tion tomer tract market tures commission merchant unless written
Popular passages
Page 346 - 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.
Page 346 - ... 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...
Page 250 - 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.
Page 309 - The required publication or service of a substantive rule shall be made not less than 30 days before its effective date...
Page 272 - 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, 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.
Page 248 - 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.
Page 253 - 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...
Page 232 - ... 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.
Page 243 - 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.
Page 574 - Commodity and Securities Exchanges I Commodity Futures Trading Commission (Parts 1 — 199) II Securities and Exchange Commission (Parts 200 — 399) IV Department of the Treasury (Parts 400 — 499) Title...