Summary of Activities, Volumen88U.S. Government Printing Office, 1963 |
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Página 35
... disciplinary procedures for registered brokers and dealers , and for other purposes HISTORY OF LEGISLATION On June 4 , 1963 , Senator Robertson , by request of the SEC , intro- duced S. 1642 , a bill to extend disclosure requirements to ...
... disciplinary procedures for registered brokers and dealers , and for other purposes HISTORY OF LEGISLATION On June 4 , 1963 , Senator Robertson , by request of the SEC , intro- duced S. 1642 , a bill to extend disclosure requirements to ...
Página 49
... disciplinary action against individuals . The definition in paragraph ( 18 ) would include exactly the same classes of persons now referred to in the fourth paragraph of section 15 ( b ) . Under existing law , an employee of a broker or ...
... disciplinary action against individuals . The definition in paragraph ( 18 ) would include exactly the same classes of persons now referred to in the fourth paragraph of section 15 ( b ) . Under existing law , an employee of a broker or ...
Página 53
... disciplinary action only if the Commission finds it in the public interest so to act . This list would be expanded to parallel closely the list in section 203 ( d ) ( 3 ) of the Investment Advisers Act of 1940 , as that list was ...
... disciplinary action only if the Commission finds it in the public interest so to act . This list would be expanded to parallel closely the list in section 203 ( d ) ( 3 ) of the Investment Advisers Act of 1940 , as that list was ...
Página 57
... disciplinary proceedings against the broker or dealer . In appropriate cases , criminal proceedings , in addition to the civil proceedings , could be instituted . Section 7 ( a ) ( 1 ) , Amending Section 15A ( b ) ( 3 ) -Effect of ...
... disciplinary proceedings against the broker or dealer . In appropriate cases , criminal proceedings , in addition to the civil proceedings , could be instituted . Section 7 ( a ) ( 1 ) , Amending Section 15A ( b ) ( 3 ) -Effect of ...
Página 59
... disciplinary proceedings , in its discretion , against individuals , without joining members . Section 7 ( a ) ( 5 ) , Amending Section 15A ( b ) ( 10 ) -Requirement of Pro- cedural Safeguards in Disciplinary Proceedings Against Persons ...
... disciplinary proceedings , in its discretion , against individuals , without joining members . Section 7 ( a ) ( 5 ) , Amending Section 15A ( b ) ( 10 ) -Requirement of Pro- cedural Safeguards in Disciplinary Proceedings Against Persons ...
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Términos y frases comunes
Administrator agencies alteration or supplement Amending Section application appropriate approved Area Redevelopment Act authority Banking and Currency becoming Public Law bill would amend broker or dealer broker-dealers clause Commission Committee on Banking Currency Committee DIGEST OF BILL DIGEST OF STATUTE disclosure equity securities exempt facilities Federal Reserve System filed Finance funds guarantee Hearings were held HISTORY OF LEGISLATION House Banking introduced by Senator issuers John Fitzgerald Kennedy Joint Board Joint Resolution June 26 mass transportation million mortgage insurance corporations mortgage marketing corporations NASD national securities exchange October October 16 over-the-counter paragraph payment percent persons associated proposed protection of investors provisions of section proxies pursuant registered securities association registration statement reported Rept require revenue bonds rules and regulations Secretary section 12 section 15(b Securities Act Securities Exchange Act securities registered Senator Robertson Senator Sparkman September 19 Small Business specified subsection tion transactions Treasury unlisted trading privileges violation