Summary of Activities, Volumen88U.S. Government Printing Office, 1963 |
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Página 35
... listed on an exchange . The second major objective of S. 1642 is to strengthen the standards of entrance into the securities business , enlarge the scope of self- regulation , and strengthen Commission disciplinary controls over brokers ...
... listed on an exchange . The second major objective of S. 1642 is to strengthen the standards of entrance into the securities business , enlarge the scope of self- regulation , and strengthen Commission disciplinary controls over brokers ...
Página 36
... listing and registration of a security on a national securities exchange . Subsection ( b ) of section 12 specifies the information and documents that the Com- mission may require to be contained in an application for registration ...
... listing and registration of a security on a national securities exchange . Subsection ( b ) of section 12 specifies the information and documents that the Com- mission may require to be contained in an application for registration ...
Página 37
... listed securities ; the clarification of the Commis- sion's authority to extend , suspend , and terminate unlisted trading privileges ; and the deletion of unnecessary provisions with respect to quotations of unlisted security ...
... listed securities ; the clarification of the Commis- sion's authority to extend , suspend , and terminate unlisted trading privileges ; and the deletion of unnecessary provisions with respect to quotations of unlisted security ...
Página 38
... listed and registered for trading on another securities exchange . Since applications to continue unlisted trading privileges would not be filed , the first sentence of the second paragraph of section 12 ( f ) ( relating to Commission ...
... listed and registered for trading on another securities exchange . Since applications to continue unlisted trading privileges would not be filed , the first sentence of the second paragraph of section 12 ( f ) ( relating to Commission ...
Página 39
... listed securities and transactions in securities with unlisted trading privileges . Under section 19 ( b ) the Commission has authority to alter or supplement the rules of national securities exchanges so that they require such ...
... listed securities and transactions in securities with unlisted trading privileges . Under section 19 ( b ) the Commission has authority to alter or supplement the rules of national securities exchanges so that they require such ...
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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