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" ... or acceptance of orders, accepts any money, securities, or property (or extends credit in lieu thereof) to margin, guarantee, or secure any trades or contracts that result or may result therefrom. "
Reauthorization of the Commodity Futures Trading Commission: Hearing Before ... - Página 236
por United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Subcommittee on Agricultural Research and General Legislation - 1978
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Pyaments, Clearance, and Settlement: A Guide to the Systems, Risks, and Issues

Nolani T. Traylor, Tamara E. Cross, Nancy Eibeck, Robert Pollard - 1998 - 190 páginas
...merchant is an individual, association, partnership, corporation, and trust that solicits or accepts orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market and that accepts payment from or extends credit to...
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Donated Organ Allocation Policy: Hearing Before a Subcommittee of the ...

United States. Congress. Senate. Committee on Appropriations. Subcommittee on Departments of Labor, Health and Human Services, Education, and Related Agencies - 2000 - 278 páginas
...is registered as an associated person ofa futures commission merchant, engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market who docs not accept money, securities, or property...
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Crop Insurance: Hearing Before the Committee on Agriculture, Nutrition, and ...

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry - 2000 - 218 páginas
...is registered as an associated person of a futures commission merchant, engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market who docs not accept money, securities, or property...
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Risk-Based Capital: Regulatory and Industry Approaches to Capital and Risk

Lawrence D. Cluff - 2000 - 187 páginas
...12An FCM is an individual, association, partnership, corporation, or trust that solicits or accepts orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market and that accepts payment from or extends credit to...
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Price Action Trading: Day-Trading the T-Bonds Off PAT

Bill Eykyn - 2003 - 166 páginas
...registered as an 'associated person' of a futures commission merchant) who is engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on an exchange who does not accept any money, securities, or property to margin, guarantee, or secure...
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Futures for Small Speculators: Companion Guide

Noble DraKoln - 2003 - 272 páginas
...registered as an "associated person" of a futures commission merchant) who is engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on an exchange who does not accept any money, securities, or property to margin, guarantee, or secure...
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USA PATRIOT Act additional guidance could improve implementation of ...

2005 - 84 páginas
...whose orders are accepted. An introducing broker for commodities is a person engaged in soliciting or accepting orders for the purchase or sale of any commodity for future delivery on an exchange who does not accept any money, securities or property to margin, guarantee, or secure...
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Agriculture-environmental and Consumer Protection Appropriations ..., Parte 4

United States. Congress. House Committee on Appropriations. Subcommittee on Agriculture-Environmental and Consumer Protection Appropriations - 1973 - 808 páginas
...include individuals, associations, partnerships, corporations, and trusts engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market and that, in or in connection with such solicitation...
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Annual Report of the Securities and Exchange Commission

United States. Securities and Exchange Commission - 1978 - 170 páginas
...futures commission merchants (FCMs). An FCM is, generally, a person who engages in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market.'8 The CFTC has jurisdiction to impose minimum financial...
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The Code of Federal Regulations of the United States of America

1967 - 748 páginas
...means individuals, associations, partnerships, corporations, and trusts engaged in soliciting or in accepting orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market and that, in or in connection with such solicitation...
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