Agriculture, rural development, and related agencies appropriations for 1986: hearings before a subcommittee of the Committee on Appropriations, House of Representatives, Ninety-ninth Congress, first session, Part 3U.S. Government Printing Office, 1985 - Library lacks vol. I. |
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Page 6
... rule enforcement re views of exchange and NFA programs . It should be noted that , in their 1982 review of CFTC , GAO recommended that the number of rule enforcement reviews be increased , and the Commission has been trying to move in ...
... rule enforcement re views of exchange and NFA programs . It should be noted that , in their 1982 review of CFTC , GAO recommended that the number of rule enforcement reviews be increased , and the Commission has been trying to move in ...
Page 8
... rules have been in effect for less than a year , fifteen cases that were filed under the new rules have been disposed of in less than one year , which is within the time frames anticipated under the new rules . Understandably , a ...
... rules have been in effect for less than a year , fifteen cases that were filed under the new rules have been disposed of in less than one year , which is within the time frames anticipated under the new rules . Understandably , a ...
Page 9
... rule change , which was approved by the Commission , effectively extends this requirement to include APs who were not formerly covered by exchange rules in this area . NFA has also taken over from the Commission the task of auditing ...
... rule change , which was approved by the Commission , effectively extends this requirement to include APs who were not formerly covered by exchange rules in this area . NFA has also taken over from the Commission the task of auditing ...
Page 12
... rule violations and closed 23 PIs where rule violations were not evident . In addition , three investigations were closed by the issuance of a complaint from a . Business Conduct Committee . NFA made 32 referrals to the CFTC and various ...
... rule violations and closed 23 PIs where rule violations were not evident . In addition , three investigations were closed by the issuance of a complaint from a . Business Conduct Committee . NFA made 32 referrals to the CFTC and various ...
Page 16
... rules designed to enhance customer protection . On February 26 , a release was distributed detailing NFA's proposed Draft Compliance Rule which governs communications with the public and the use of promotional materials . On the same ...
... rules designed to enhance customer protection . On February 26 , a release was distributed detailing NFA's proposed Draft Compliance Rule which governs communications with the public and the use of promotional materials . On the same ...
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Popular passages
Page 79 - 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...
Page 81 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Page 82 - Whenever it shall appear to the Commission that any person has engaged or is about to engage in any act or practice constituting a violation of any provision...
Page 93 - Code. (2) If the petitioner applies to the court for leave to adduce additional evidence, and shows to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds...
Page 268 - Secretary pursuant to subsection (b), do not include adequate tests by all methods reasonably applicable to show whether or not such drug is safe for use under the conditions prescribed, recommended, or suggested in the proposed labeling...
Page 99 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 81 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Page 89 - ... forthwith sends notice of the service and a copy of the process by registered mail to the defendant or respondent at his last...
Page 73 - person" means an individual, a corporation, a partnership, an association, a joint-stock company, a trust, any unincorporated organization, or a government or political subdivision thereof. As used in this paragraph the term "trust...