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 81
Página 131
... present law with respect to self - regulatory associations . First , an increasing scope for responsibility by the NASD is reflected in sec- tion 7 ( a ) ( 6 ) requiring its adoption of rules designed to produce fair and infor- mative ...
... present law with respect to self - regulatory associations . First , an increasing scope for responsibility by the NASD is reflected in sec- tion 7 ( a ) ( 6 ) requiring its adoption of rules designed to produce fair and infor- mative ...
Página 255
... present law , the persons under the jurisdiction of the SEC are persons who are controlled by the broker- dealer ? Mr. LOOMIS . Controlled or controlling ; either way . Mr. CURTIN . Under the law as you would have it amended , that ...
... present law , the persons under the jurisdiction of the SEC are persons who are controlled by the broker- dealer ? Mr. LOOMIS . Controlled or controlling ; either way . Mr. CURTIN . Under the law as you would have it amended , that ...
Página 530
... present at a board meeting . [ See Article IV , Section 1 ( a ) and ( c ) . ] 9. Under the present Constitution , various approvals are required to be obtained from one of the Standing Committees such as the Committee on Admissions or ...
... present at a board meeting . [ See Article IV , Section 1 ( a ) and ( c ) . ] 9. Under the present Constitution , various approvals are required to be obtained from one of the Standing Committees such as the Committee on Admissions or ...
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