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 86
Página 325
... contained in H.R. 2480 in the 86th Congress . The purpose of the amendments to the Securities Exchange Act suggested in 1959 was to facilitate the Commission's enforcement of the statute by changing certain pro- visions which had ...
... contained in H.R. 2480 in the 86th Congress . The purpose of the amendments to the Securities Exchange Act suggested in 1959 was to facilitate the Commission's enforcement of the statute by changing certain pro- visions which had ...
Página 326
... contain such a proposal , it does propose an amendment which would require all registered brokers and dealers to be members of a registered national securities association . 2. H.R. 2480 contained provisions to authorize the Commission ...
... contain such a proposal , it does propose an amendment which would require all registered brokers and dealers to be members of a registered national securities association . 2. H.R. 2480 contained provisions to authorize the Commission ...
Página 327
... contained in section 6 ( c ) of H.R. 6789 . 6. H.R. 2480 contained proposals to clarify the Commission's authority to sus- pend a security from exchange trading where there has been a failure to comply with the act and where otherwise ...
... contained in section 6 ( c ) of H.R. 6789 . 6. H.R. 2480 contained proposals to clarify the Commission's authority to sus- pend a security from exchange trading where there has been a failure to comply with the act and where otherwise ...
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