Annual Report of the SEC.U.S. Government Printing Office |
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Página 75
... court ruled that the Exchange must demonstrate that any rule having anti- competitive effects is necessary to the operation and effectiveness of the Act . The case was remanded to the district court where it is now pending . The ...
... court ruled that the Exchange must demonstrate that any rule having anti- competitive effects is necessary to the operation and effectiveness of the Act . The case was remanded to the district court where it is now pending . The ...
Página 76
... court dismissed the complaint for lack of jurisdiction , holding that the Commission had entered no " order , " but the Court of Appeals for the District of Columbia Circuit reversed in part , stating that the Commission had exerted ...
... court dismissed the complaint for lack of jurisdiction , holding that the Commission had entered no " order , " but the Court of Appeals for the District of Columbia Circuit reversed in part , stating that the Commission had exerted ...
Página 78
... Court of Appeals for the Third Circuit plaintiffs argued that the Exchange's delisting rules were applied ... court's action , the Commission urged that its procedures on an application by an exchange for delisting are sufficient to ...
... Court of Appeals for the Third Circuit plaintiffs argued that the Exchange's delisting rules were applied ... court's action , the Commission urged that its procedures on an application by an exchange for delisting are sufficient to ...
Página 89
... court granted the defendants ' motions for summary judgment , and the plaintiffs appealed to the Court of Appeals for the Fifth Circuit.12 The Commission filed a brief with the court of appeals , amicus curiae , in which it urged that ...
... court granted the defendants ' motions for summary judgment , and the plaintiffs appealed to the Court of Appeals for the Fifth Circuit.12 The Commission filed a brief with the court of appeals , amicus curiae , in which it urged that ...
Página 104
... Court of Appeals for the Third Circuit and the Supreme Court ( by Mr. Justice Marshall ) denied plaintiffs ' request for a stay of the district court order pending appeal . ENFORCEMENT AND REMEDIAL ACTION When the Commission determines ...
... Court of Appeals for the Third Circuit and the Supreme Court ( by Mr. Justice Marshall ) denied plaintiffs ' request for a stay of the district court order pending appeal . ENFORCEMENT AND REMEDIAL ACTION When the Commission determines ...
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36th Annual Report accounting action adopted alleged amended American Stock Exchange amicus curiae amount antifraud application assets Association Bank broker or dealer broker-dealers brokerage capital cash Commis Commission Commission's common stock Company Act Release Corporation Court of Appeals creditors customers debtor defendants directors disclosure distribution district court dollar effective enforcement Exchange Act Release exemption Federal securities laws filed fiscal Holding Company injunction instituted interest investment adviser Investment Company Act investors involved issued issuer June 30 listed million mission mutual fund NASD NASDAQ national securities exchange NYSE Office operations over-the-counter pany pending percent persons principal proceedings proposed proxy purchase registered investment registration statement Regulation reorganization rules Securities Act Release Securities Exchange Act security holders self-regulatory shareholders sion staff stockholders subsidiary suspended tion Total trading transactions trustee underwriter unit investment trusts violations York Stock Exchange