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 88
Página 44
... appropriate notice and opportunity for hearing , that the extension of unlisted trading privileges pursuant to such application is necessary or appropriate in the public interest or for the protection of investors . " The Commission ...
... appropriate notice and opportunity for hearing , that the extension of unlisted trading privileges pursuant to such application is necessary or appropriate in the public interest or for the protection of investors . " The Commission ...
Página 226
... appropriate sanctions may be imposed upon a broker or dealer whose em- ployees violate . The primary purpose of inserting failure to supervise as an independent ground of disciplinary action would be to enable the Commission to reach ...
... appropriate sanctions may be imposed upon a broker or dealer whose em- ployees violate . The primary purpose of inserting failure to supervise as an independent ground of disciplinary action would be to enable the Commission to reach ...
Página 657
... appropriate notice and opportunity for hearing , that the extension of unlisted trading privileges pursuant to such application is necessary or appropriate in the public interest or for the protection of investors . " The Commission ...
... appropriate notice and opportunity for hearing , that the extension of unlisted trading privileges pursuant to such application is necessary or appropriate in the public interest or for the protection of investors . " The Commission ...
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