Summary of Activities, Volumen88U.S. Government Printing Office, 1963 |
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Página 40
... securities . However , under section 12 ( b ) of the Exchange Act the ... registered for trading on a national securities exchange . The Commission ... association would not be exempt . from the requirement of registration . Mutual ...
... securities . However , under section 12 ( b ) of the Exchange Act the ... registered for trading on a national securities exchange . The Commission ... association would not be exempt . from the requirement of registration . Mutual ...
Página 50
... Securities . Exchange Act of 1934 , to classily controlled persons , including em- ployees , by rules and ... registered securities association . That definition would , however , include not only a person associated with a broker or dealer ...
... Securities . Exchange Act of 1934 , to classily controlled persons , including em- ployees , by rules and ... registered securities association . That definition would , however , include not only a person associated with a broker or dealer ...
Página 51
... registered securities association for any broker or dealer during any period when either ( i ) there is no registered securi- ties association , or ( ii ) the rules of each registered securities association preclude the membership ...
... registered securities association for any broker or dealer during any period when either ( i ) there is no registered securi- ties association , or ( ii ) the rules of each registered securities association preclude the membership ...
Página 56
... registration ( unless the applicant , as often occurs , consents to post- ponement ... association with any broker or dealer would be a basis for proceedings ... Securities Exchange Act , in the event of adverse action by the Commission ...
... registration ( unless the applicant , as often occurs , consents to post- ponement ... association with any broker or dealer would be a basis for proceedings ... Securities Exchange Act , in the event of adverse action by the Commission ...
Página 57
... registered securities association to adopt rules under which it might exclude from membership persons who had been suspended or expelled from a national securities exchange or who were excluded from association with all brokers or ...
... registered securities association to adopt rules under which it might exclude from membership persons who had been suspended or expelled from a national securities exchange or who were excluded from association with all brokers or ...
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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