Investor Protection: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, First[- Second] Session, on H. R. 6789, H. R. 6793, S. 1642...April 3; November 19, 20, 21, 1963
U.S. Government Printing Office, 1964 - 1418 páginas
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action activities additional adopted agencies amended amount application appropriate approval association authority banks basis believe bill Board broker or dealer broker-dealers capital Cary Chairman chapter Commission committee companies Congress contained continue corporation customers deal dealer directors disciplinary disclosure discussed effective examination Exchange Act exemption existing Federal filed firms floor funds further Governors HARRIS important industry insurance companies interest investment investors involved issuer issues legislation letter listed material matter meet membership NASD necessary offering operations organization over-the-counter period person practices present problems procedures proposed protection proxy question reason recommendations record reference registered regulation relating representatives respect responsibility rules Securities Exchange selling shares Special Study specialist specific staff STAGGERS standards statement Stock Exchange tion trading transactions violation York
Página 343 - N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
Página 671 - ( 3 ) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from acting as an investment adviser, underwriter, broker, or dealer, or an affiliated person or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
Página 673 - No broker or dealer shall make use of the mails or of any means or Instrumentality of interstate commerce to effect any transaction In, or to Induce the purchase or sale of, any security (other than commercial paper, bankers...
Página 425 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...
Página 64 - ... executed in whole or in part at or after the filing of the registration statement or which contract has been made not more than two years before such filing.
Página 27 - Commission is authorized and directed to make a study and investigation of the adequacy, for the protection of investors, of the rules of national securities exchanges and national securities associations, including rules for the expulsion, suspension, or disciplining of a member for conduct inconsistent with just and equitable principles of trade.
Página 565 - A ) the applicant is twenty-one years of age or over ; (B) the applicant (including, in the case of a corporation, partnership, or association, any individual possessing, directly or indirectly, the power to direct or cause the direction of the management and policies of the corporation, partnership, or association) is not prohibited from transporting, shipping, or receiving firearms or ammunition in interstate or foreign commerce...
Página 534 - It shall be unlawful for a specialist or an official of the exchange to disclose information in regard to orders placed with such specialist which is not available to all members of the exchange, to any person other than an official of the exchange, a representative of the Commission, or a specialist who may be acting for such specialist...
Página 62 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...