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
... district 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 ...
... district 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 ...
Página 78
... district court denied plaintiffs ' motion for preliminary injunction and dismissed the complaint , concluding that the Commission had exclusive jurisdiction over delisting procedures . On appeal to the Court of Appeals for the Third ...
... district court denied plaintiffs ' motion for preliminary injunction and dismissed the complaint , concluding that the Commission had exclusive jurisdiction over delisting procedures . On appeal to the Court of Appeals for the Third ...
Página 79
United States. Securities and Exchange Commission. The court of appeals affirmed the denial of preliminary relief , but remanded the case to the district court in order to afford plaintiffs an adequate opportunity to be heard on the ...
United States. Securities and Exchange Commission. The court of appeals affirmed the denial of preliminary relief , but remanded the case to the district court in order to afford plaintiffs an adequate opportunity to be heard on the ...
Página 88
... District Court for the Western District of Texas , agreeing with positions urged by the Commission in its amicus curiae brief filed with that court , upheld an " interpreta- tion " promulgated by the Board of Governors of the NASD in ...
... District Court for the Western District of Texas , agreeing with positions urged by the Commission in its amicus curiae brief filed with that court , upheld an " interpreta- tion " promulgated by the Board of Governors of the NASD in ...
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Términos y frases comunes
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