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 83
Página 44
... necessary or appropriate for the proper pro- tection of investors and to insure fair dealing in the security . " ( b ) Section 12 ( f ) of said Act is amended to read as follows : " ( f ) Notwithstanding the foregoing provisions of this ...
... necessary or appropriate for the proper pro- tection of investors and to insure fair dealing in the security . " ( b ) Section 12 ( f ) of said Act is amended to read as follows : " ( f ) Notwithstanding the foregoing provisions of this ...
Página 657
... necessary or appropriate for the proper protection of investors and to insure fair dealing in the security [ , but no dis- closure shall be required of any portion of such contract if the Commission deter- mines that disclosure of such ...
... necessary or appropriate for the proper protection of investors and to insure fair dealing in the security [ , but no dis- closure shall be required of any portion of such contract if the Commission deter- mines that disclosure of such ...
Página 681
... necessary ? Mr. AMES . I think that is necessary ; yes , sir . Mr. HARRIS . The question here is that the SEC is given authority to deal with the individual in the company and not the company , it- self , for any act that might have ...
... necessary ? Mr. AMES . I think that is necessary ; yes , sir . Mr. HARRIS . The question here is that the SEC is given authority to deal with the individual in the company and not the company , it- self , for any act that might have ...
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