Reauthorization of the Commodity Futures Trading Commission: Hearings Before the Subcommittee on Conservation, Credit, and Rural Development of the Committee on Agriculture, House of Representatives, Ninety-ninth Congress, Second Session, March 18, and 19, 1986U.S. Government Printing Office, 1986 - 527 páginas |
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Palavras e frases frequentes
accounts action agricultural audit trail authority believe Board of Trade brokers cash CFTC CFTC's Chairman Chicago Board Chicago Mercantile Exchange COLEMAN COMEX Commission's Committee Commodity Exchange Act Commodity Futures Trading commodity pool commodity trading advisor concern Congress contract market court cross-margining definition delivery economic Ed Jones effective enforcement entities EVANS of Iowa federal financial futures foreign forward contract fraud funds futures and options Futures Association futures contracts futures exchanges futures industry futures markets Futures Trading Commission GILMORE GLICKMAN grain hearing hedging interest investment IPMC issue JONES of Tennessee legislative leverage contracts leverage firms leverage transactions Monex National Futures Association NFA's off-exchange futures operations options markets percent PHILLIPS portfolios question reauthorization record registered regulation regulatory requirements responsibility risk Section 4b securities self-regulatory speculative limits statement subcommittee subpoena Thank tion trading advisors
Passagens conhecidas
Página 403 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
Página 151 - A copy of such petition shall be forthwith transmitted by the clerk of the court to the Commission, and thereupon the Commission shall file in the court the record in the proceeding, as provided in section 2112 of title 28, United States Code.
Página 404 - ... receives from others, funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of securities, or otherwise, for the purpose of trading in any commodity for future delivery on or subject to the rules of any contract market, but does not include such persons not within the intent of this definition as the Commission may specify by rule or regulation or by order.
Página 153 - SEC. 217. (a) No person shall offer to enter into, enter into, or confirm the execution of any transaction for the delivery of silver bullion, gold bullion, or bulk silver coins or bulk gold coins, pursuant to a standardized contract commonly known to the trade as a margin account, margin contract, leverage account, or leverage contract...
Página 403 - ... does not include (i) any bank or trust company or any person acting as an employee thereof, (ii) any news reporter, news columnist, or news editor of the print or electronic media...
Página 155 - ... notice thereof with the Commission. The notice shall be in such form and contain such information as the Commission, by rule, may prescribe as necessary or appropriate in the public interest or for the protection of investors.
Página 157 - Commission determines that such acts or practices as are found to have been engaged in are not prohibited by the designated rule or rules of the association, or that such act as is found to have been omitted is not required by such designated rule or rules, the Commission shall by order set aside the action of the association.
Página 155 - ... on its own motion, or upon application by any person aggrieved thereby filed within thirty days after the date such notice was filed with...
Página 157 - ... such rules are, and were applied in a manner, consistent with the purposes of this title, such appropriate regulatory agency, by order, shall dismiss the proceeding.
Página 248 - In determining whether any person has exceeded such limits, the positions held and trading done by any persons directly or indirectly controlled by such person shall be included with the positions held and trading done by such person; and further, such limits upon positions and trading shall apply to positions held by, and trading done by, two or more persons acting pursuant to an expressed or implied agreement or understanding, the same as if the positions were held by, or the trading were done...