SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 1642, a Bill to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Discliplinary Procedures for Registered Brokers and Dealers, and for Other PurposesU.S. Government Printing Office, 1963 - 470 páginas |
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Página iii
... Dealers , Inc. , accompanied by Avery Rockefeller , Jr. , chairman , advisory committee to the board of governors , A. Jackson Goodwin , Jr. , member , board of governors , Robert W. Haack , member board of governors , Wallace H. Fulton ...
... Dealers , Inc. , accompanied by Avery Rockefeller , Jr. , chairman , advisory committee to the board of governors , A. Jackson Goodwin , Jr. , member , board of governors , Robert W. Haack , member board of governors , Wallace H. Fulton ...
Página iv
... Dealers , Inc. , James Crane Kellogg III , Spear , Leeds & Kellogg , New York , N. Y. , former chairman of New York Stock Exchange , Francis J. Hughes , general counsel , Association of Stock Exchange Firms .. Etherington , Edwin D ...
... Dealers , Inc. , James Crane Kellogg III , Spear , Leeds & Kellogg , New York , N. Y. , former chairman of New York Stock Exchange , Francis J. Hughes , general counsel , Association of Stock Exchange Firms .. Etherington , Edwin D ...
Página 10
... dealers who make markets in over - the - counter securities would be exempted from the insider - trading sections to the extent of their marketmaking activities , but subject to terms and conditions to be prescribed by Commission rules ...
... dealers who make markets in over - the - counter securities would be exempted from the insider - trading sections to the extent of their marketmaking activities , but subject to terms and conditions to be prescribed by Commission rules ...
Página 11
... dealers in the over - the- counter market , increased from 5,000 in 1946 to 8,200 as of January 15 , 1963 . Moreover , during a 10 - month period in 1961 and 1962 , quotations were entered in over 14,000 different domestic stocks traded ...
... dealers in the over - the- counter market , increased from 5,000 in 1946 to 8,200 as of January 15 , 1963 . Moreover , during a 10 - month period in 1961 and 1962 , quotations were entered in over 14,000 different domestic stocks traded ...
Página 31
... dealer to make a market in an over - the - counter security , while at the same time represented on the board of directors and thus available to give advice to the company regarding its financial policies . Abuses by dealers would be ...
... dealer to make a market in an over - the - counter security , while at the same time represented on the board of directors and thus available to give advice to the company regarding its financial policies . Abuses by dealers would be ...
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Términos y frases comunes
$1 million accounting additional adequate amendment American Stock Exchange apply assets authority bank stocks believe bill broker or dealer broker-dealers brokers and dealers capital CARY Chairman commissioner committee Comptroller Congress corporations directors disciplinary disclosure requirements DOMINICK earnings ETHERINGTON Exchange Commission exemption Federal Federal Reserve System filed full disclosure Funston holders insider trading insurance companies intermediate sanctions investor protection issuers issues June 18 LEMKAU listed companies ment NASD national banks operations over-the-counter companies over-the-counter market over-the-counter securities panies percent practices present problems proxy rules proxy solicitation proxy statement public interest real estate securities registered regulation regulatory reporting requirements respect SCHAPIRO Securities Act Securities and Exchange securities association securities business Securities Exchange Act securities industry securities markets self-regulation Senator JAVITS Senator WILLIAMS shareholders shares solicit proxies special study standards stock option stockholders subcommittee substantial tion transactions U.S. Senate Underwriters unlisted York Stock Exchange
Pasajes populares
Página 401 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Página 408 - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Página 445 - States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 406 - It shall be unlawful for any person in the sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact от any omission to state a material fact...
Página 408 - Commission, on the ground that the testimony or evidence, documentary or otherwise required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 393 - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
Página 398 - ... (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.
Página 407 - ... to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Página 423 - ... (1) any member appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed, shall be appointed for the remainder of such term; and (2) the terms of office of the members first taking office after the date of...
Página 418 - Act, the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, or the Trust Indenture Act of 1939...