Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexU.S. General Services Administration, National Archives and Records Service, Office of the Federal Register, 1987 - Administrative law Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Page 5
... records ; keeping and in- spection . 1.32 Segregated account ; daily computa- tion and record . 1.33 Monthly and confirmation statements . 1.34 Monthly record , " point balance " . 1.35 Records of cash commodity , futures , and option ...
... records ; keeping and in- spection . 1.32 Segregated account ; daily computa- tion and record . 1.33 Monthly and confirmation statements . 1.34 Monthly record , " point balance " . 1.35 Records of cash commodity , futures , and option ...
Page 48
... records . ( b ) Each applicant or registrant must make and keep as a record in ac- cordance with § 1.31 formal computa- tions of its adjusted net capital and of its minimum financial requirements pursuant to § 1.17 or the requirements ...
... records . ( b ) Each applicant or registrant must make and keep as a record in ac- cordance with § 1.31 formal computa- tions of its adjusted net capital and of its minimum financial requirements pursuant to § 1.17 or the requirements ...
Page 51
... Record of investments . ( a ) Each futures commission mer- chant which invests customer funds , and each clearing organization which invests customer funds of its clearing members ' customers or option custom- ers , shall keep a record ...
... Record of investments . ( a ) Each futures commission mer- chant which invests customer funds , and each clearing organization which invests customer funds of its clearing members ' customers or option custom- ers , shall keep a record ...
Page 52
... records ; keeping and in- spection . ( a ) ( 1 ) All books and records required to be kept by the Act or by these regu- lations shall be kept for a period of five years from the date thereof and shall be readily accessible during the ...
... records ; keeping and in- spection . ( a ) ( 1 ) All books and records required to be kept by the Act or by these regu- lations shall be kept for a period of five years from the date thereof and shall be readily accessible during the ...
Page 53
... records , microfilm reproductions thereof may be substituted for the hard copy for the final three years of the five - year period . ( c ) If such microfilm substitution for hard copy is made , the person re- quired to keep such records ...
... records , microfilm reproductions thereof may be substituted for the hard copy for the final three years of the five - year period . ( c ) If such microfilm substitution for hard copy is made , the person re- quired to keep such records ...
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Common terms and phrases
accordance action Administrative Law Judge amended at 46 amount appeal applicant or registrant Approved associated person authority board of trade Budget under control business day cash chant claim cluding Commis Commission's Commodity Exchange Act Commodity Futures commodity option commodity pool operator commodity trading advisor contract market control number 3038 copy customer funds demand note designated self-regulatory Director disclosure documents employee exempt fees filed foreign futures Form 1-FR future delivery futures commission merchant futures contract Futures Trading graph hearing introducing broker leverage contract leverage customer leverage transaction merchant margin ment modity motion National Futures Association notice option customer option transaction otherwise Ownership Equity party position prior procedure purchase records regis regulations request rules securities self-regulatory organization specified statement strike price suant submit subordination agreement Subpart thereof tion tomer tract market tures commission merchant unless
Popular passages
Page 193 - 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, a Sunday, or a legal holiday...
Page 167 - ... 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...
Page 176 - 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 254 - ... 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 176 - Rule 32 (c) , objection may be made at the trial or hearing to receiving in evidence any deposition or part thereof for any reason which would require the exclusion of the evidence if the witness were then present and testifying.
Page 171 - 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.
Page 175 - All objections made at the time of the examination to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, or to the conduct of any party, and any other objection to the proceedings, shall be noted by the officer upon the deposition. Evidence objected to shall be taken subject to the objections.
Page 188 - ... no testimony or other information compelled under the order (or any information directly or indirectly derived from such testimony or other information) may be used against the witness in any criminal case, except a prosecution for perjury, giving a false statement, or otherwise failing to comply with the order.
Page 336 - Use of Government property. An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.
Page 221 - The Commission may deny, temporarily or permanently, the privilege of appearing or practicing before It in any way to any person who is found by the Commission after notice...