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 3
... Leverage transactions 337 ... 347 32 33 Regulation of commodity option transactions Regulation of domestic exchange - traded modity option transactions 380 ....... 395 Part Page 34 Regulation of hybrid instruments 405 35 Exemption 3.
... Leverage transactions 337 ... 347 32 33 Regulation of commodity option transactions Regulation of domestic exchange - traded modity option transactions 380 ....... 395 Part Page 34 Regulation of hybrid instruments 405 35 Exemption 3.
Page 4
Part Page 34 Regulation of hybrid instruments 405 35 Exemption of swap agreements 406 36 Exemption of section 4 ( c ) contract market trans- actions .... 408 100 Delivery period required 414 140 Organization , functions , and procedures ...
Part Page 34 Regulation of hybrid instruments 405 35 Exemption of swap agreements 406 36 Exemption of section 4 ( c ) contract market trans- actions .... 408 100 Delivery period required 414 140 Organization , functions , and procedures ...
Page 5
... exemption of certain rules . 1.41a Delegation of authority to the Direc- tors of the Division of Trading and Mar- kets and the Division of Economic Anal- ysis to process certain contract market rules . 1.41b Delegation of authority to ...
... exemption of certain rules . 1.41a Delegation of authority to the Direc- tors of the Division of Trading and Mar- kets and the Division of Economic Anal- ysis to process certain contract market rules . 1.41b Delegation of authority to ...
Page 12
... exempt from registration in such capacity ; ( ii ) Any commodity trading advisor , which , acting in its capacity as a com- modity trading advisor , is not com- pensated on a per - trade basis or which solely manages discretionary ...
... exempt from registration in such capacity ; ( ii ) Any commodity trading advisor , which , acting in its capacity as a com- modity trading advisor , is not com- pensated on a per - trade basis or which solely manages discretionary ...
Page 24
... exemption from the pro- visions of this paragraph to a futures commission merchant with respect to any particular account on a continuous basis provided the designated self - regu- latory organization documents the rea- sons for ...
... exemption from the pro- visions of this paragraph to a futures commission merchant with respect to any particular account on a continuous basis provided the designated self - regu- latory organization documents the rea- sons for ...
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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...