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 |
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Página 608
... believe what he said specifically was that there had been more criminal referrals by the SEC and I believe he meant by that the SEC was doing a more alert job than they did before . He was not making a quantitative judgment as to the ...
... believe what he said specifically was that there had been more criminal referrals by the SEC and I believe he meant by that the SEC was doing a more alert job than they did before . He was not making a quantitative judgment as to the ...
Página 752
... believe you made that state- ment . Mr. COLEMAN . I believe that is quite possibly true . Mr. STAGGERS . Would you be willing , then , if we say not to do away with all of it , but to bring everybody under it ? Mr. COLEMAN . I would say ...
... believe you made that state- ment . Mr. COLEMAN . I believe that is quite possibly true . Mr. STAGGERS . Would you be willing , then , if we say not to do away with all of it , but to bring everybody under it ? Mr. COLEMAN . I would say ...
Página 1261
... believe it is the disposition of this committee to be en- tirely fair and to recognize that the Commission is doing the very best it can , and the exchanges are doing the very best they can and we are assuming that all of the dealings ...
... believe it is the disposition of this committee to be en- tirely fair and to recognize that the Commission is doing the very best it can , and the exchanges are doing the very best they can and we are assuming that all of the dealings ...
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