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, 1963U.S. Government Printing Office, 1964 - 1418 páginas |
Dentro del libro
Resultados 1-3 de 94
Página 435
... Board of Governors or to the Advisory Committee of the Board , depending on the nature and extent of the possible violation . The revised Constitution lodges authority for disciplining the membership with the Board of Governors . The ...
... Board of Governors or to the Advisory Committee of the Board , depending on the nature and extent of the possible violation . The revised Constitution lodges authority for disciplining the membership with the Board of Governors . The ...
Página 504
... Board ; ( 5 ) appoint , subject to approval of the Board , general counsel for the Exchange and such other professional advisers as he may consider necessary for efficient admin- istration of the Exchange . The President would be a ...
... Board ; ( 5 ) appoint , subject to approval of the Board , general counsel for the Exchange and such other professional advisers as he may consider necessary for efficient admin- istration of the Exchange . The President would be a ...
Página 621
... board of governors ; section 3 sets forth the representation of the board of governors from the 13 association districts ; see- tions 4 , 5 , 6 , and 7 relate to election to the board and term of office ; and sections 8 and 9 provide ...
... board of governors ; section 3 sets forth the representation of the board of governors from the 13 association districts ; see- tions 4 , 5 , 6 , and 7 relate to election to the board and term of office ; and sections 8 and 9 provide ...
Contenido
Hearings held on Page 883 9383 2 NE BERT | 2 |
Communications submitted for the recordContinued | 5 |
Text | 43 |
Derechos de autor | |
Otras 9 secciones no mostradas
Términos y frases comunes
87th Congress activities additional amended American Stock Exchange appropriate approval assets authority banks basis bill Board of Governors broker or dealer broker-dealers capital CARY Chairman commerce Commission's committee Congress corporation customers directors disclosure effective employees Exchange Commission Exchange's exemption Federal filed funds HARRIS insider trading insurance companies intrastate Investment Company issuer issues jurisdiction legislation listing application member firms member organizations membership ment mutual fund NASD national securities exchange NYSE OREN HARRIS over-the-counter market percent person associated practices procedures proposed protection of investors proxy proxy statement public interest pursuant quotations registered securities association registration statement regulation regulatory respect responsibility rules section 12 Securities Act Securities and Exchange securities business Securities Exchange Act securities markets self-regulation self-regulatory agencies selling shareholders shares short selling solicitation specialist specific staff STAGGERS standards stockholders suspend tion transactions violation York Stock Exchange