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 92
Página 436
... disciplinary action , or disciplinary action is taken by the Advisory Committee , the Board determines whether , and in what form , there should be a public announcement to the Exchange . An announcement would be considered if the Board ...
... disciplinary action , or disciplinary action is taken by the Advisory Committee , the Board determines whether , and in what form , there should be a public announcement to the Exchange . An announcement would be considered if the Board ...
Página 446
... Disciplinary matters should be handled with such formality as to provide basic fairness and , as a general procedure , should be publicly reported . ( Recommen- dation 6 , Ch . XII - B , p . 577. ) " Due process " requirements should ...
... Disciplinary matters should be handled with such formality as to provide basic fairness and , as a general procedure , should be publicly reported . ( Recommen- dation 6 , Ch . XII - B , p . 577. ) " Due process " requirements should ...
Página 447
... disciplinary proceeding is conducted in a formal manner but without technical evidentiary restraints applicable to a court of law ; the accused member is thereby given broad latitude in presenting his defense . Hearings in disciplinary ...
... disciplinary proceeding is conducted in a formal manner but without technical evidentiary restraints applicable to a court of law ; the accused member is thereby given broad latitude in presenting his defense . Hearings in disciplinary ...
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