The Code of Federal Regulations of the United States of AmericaU.S. Government Printing Office, 1972 - Administrative law 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 29
... 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 . ( Sec ...
... 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 . ( Sec ...
Page 30
... trusts engaged in soliciting or in ac- cepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any con- tract market and that , in or in connec- tion with such solicitation or ...
... trusts engaged in soliciting or in ac- cepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any con- tract market and that , in or in connec- tion with such solicitation or ...
Page 36
... trust company , clearing organiza- tion of a contract market , or another futures commission Lierchant , shall be deposited under an account name which will clearly show that they are customers ' money , securities , and property ...
... trust company , clearing organiza- tion of a contract market , or another futures commission Lierchant , shall be deposited under an account name which will clearly show that they are customers ' money , securities , and property ...
Page 37
... customers . Such obligations when deposited with a bank , trust company , clearing organization of a contract mar- ket , or another futures commission mer- chant , shall 41 Chapter -Commodity Exchange Authority $ 1.26.
... customers . Such obligations when deposited with a bank , trust company , clearing organization of a contract mar- ket , or another futures commission mer- chant , shall 41 Chapter -Commodity Exchange Authority $ 1.26.
Page 38
... trust company , clearing organization of a contract market , or other futures com- mission merchant that it was informed that the obligations belong to commodity customers and are being held in accord with the provisions of the ...
... trust company , clearing organization of a contract market , or other futures com- mission merchant that it was informed that the obligations belong to commodity customers and are being held in accord with the provisions of the ...
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Common terms and phrases
48 Stat account shall include affiliates amended amount application appropriate assets associate companies authorized balance sheet broker or dealer broker-dealer capital capital surplus caption cash certificate chapter Column Commis Commodity Exchange Commodity Exchange Act contract market copies curities deemed deposit directors dividends documents effective date employees equity securities expense filed pursuant financial statements fiscal funds furnished futures commission merchant income interest investment adviser issued issuer ment Microphoto national securities exchange option otherwise pany paragraph party period person prescribed prior proceeding prospectus proxy proxy statement purchase pursuant to Rule pursuant to section quired records reference regis registration statement relating request respect Schedule secu Securities Act Securities Exchange Act security holders service of process sion solicitation specified suant subparagraph Subpart subsidiary surplus term thereof thereto tion trading transactions underwriter unless
Popular passages
Page 135 - Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Page 20 - Witnesses summoned before the commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States...
Page 136 - ... upon application and notice, that 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.
Page 296 - equity security" means any stock or similar security: or any security convertible, with or without consideration, into such, a security, or carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the...
Page 323 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity,...
Page 94 - Executive order to be kept secret in the interest of the national defense or foreign policy; (2) related solely to the internal personnel rules and practices of an agency; (3) specifically exempted from disclosure by statute; (4) trade secrets and commercial or financial information obtained from a person and privileged or confidential; (5) inter-agency or intra-agency memorandums or letters which would not be available by law to a...
Page 306 - ... (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, or...
Page 247 - amount", when used in regard to securities, means the principal amount if relating to evidences of indebtedness, the number of shares if relating to shares, and the number of units if relating to any other kind of security.
Page 352 - ... containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading or necessary to correct any statement in any earlier communication with respect to the solicitation of a proxy for the same meeting or subject matter which has become false or misleading.
Page 119 - For the purposes of sections 205 and 207 of this title, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct Government action.