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 89
Página 213
... trading markets for securities now admitted to unlisted trading on exchanges ; the repeal of existing provisions for extension of unlisted trading privileges to securities of issuers subject to disclosure requirements equivalent to ...
... trading markets for securities now admitted to unlisted trading on exchanges ; the repeal of existing provisions for extension of unlisted trading privileges to securities of issuers subject to disclosure requirements equivalent to ...
Página 552
... Exchange . Applicants which use the short - form application should also submit all of the supporting papers and exhibits specified on pages 7 , 8 and 9 below . REGISTRATION UNDER THE SECURITIES EXCHANGE ACT OF 1934 Securities which ...
... Exchange . Applicants which use the short - form application should also submit all of the supporting papers and exhibits specified on pages 7 , 8 and 9 below . REGISTRATION UNDER THE SECURITIES EXCHANGE ACT OF 1934 Securities which ...
Página 657
... Securities Exchange Act of 1934 ] Section 12 ( f ) of said Act is amended to read as follows : " ( f ) Notwithstanding the foregoing provisions of this section , any national securities exchange , subject to the terms and conditions ...
... Securities Exchange Act of 1934 ] Section 12 ( f ) of said Act is amended to read as follows : " ( f ) Notwithstanding the foregoing provisions of this section , any national securities exchange , subject to the terms and conditions ...
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