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 87
Página 219
... effective such reports as may be required by the Commission under sec- tion 13. The duty to file reports for any ... effective in such a year , then , as of the date of such effectiveness , such suspension would be lifted in respect of ...
... effective such reports as may be required by the Commission under sec- tion 13. The duty to file reports for any ... effective in such a year , then , as of the date of such effectiveness , such suspension would be lifted in respect of ...
Página 220
... effective later in 1963. No further registration statements are filed or become effective in 1963 or in 1964 ; thus , B corpora- tion's obligation to file under section 15 ( d ) in respect of 1963 and 1964 will be determined solely by ...
... effective later in 1963. No further registration statements are filed or become effective in 1963 or in 1964 ; thus , B corpora- tion's obligation to file under section 15 ( d ) in respect of 1963 and 1964 will be determined solely by ...
Página 234
... EFFECTIVE DATE PROVISIONS Section 12 provides that , with three exceptions , all amendments contained in the bill shall be effective upon enactment . The first exception is that the new section 12 ( g ) ( 1 ) of the Exchange Act , which ...
... EFFECTIVE DATE PROVISIONS Section 12 provides that , with three exceptions , all amendments contained in the bill shall be effective upon enactment . The first exception is that the new section 12 ( g ) ( 1 ) of the Exchange Act , which ...
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