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 76
Página 815
... proposed legislation in the order in which the topics are covered in the proposed amendments . ( Page references are to the printed version of the bill , dated June 4 , 1963. ) 1. No objection can reasonably be taken to the material on ...
... proposed legislation in the order in which the topics are covered in the proposed amendments . ( Page references are to the printed version of the bill , dated June 4 , 1963. ) 1. No objection can reasonably be taken to the material on ...
Página 817
... proposed legislation provides in section 12 , subsection ( g ) ( 3 ) that registration shall terminate when the number of holders falls below 300. If the entire concept registration above discussed is actually adopted , this sub ...
... proposed legislation provides in section 12 , subsection ( g ) ( 3 ) that registration shall terminate when the number of holders falls below 300. If the entire concept registration above discussed is actually adopted , this sub ...
Página 1406
... proposed section 15 ( a ) of such act ( bill , p . 14 ) , be required to be a member of a registered securities ... proposed section 3 ( a ) ( 18 ) , it would also be a " person associated with a member " under proposed section 3 ( a ) ...
... proposed section 15 ( a ) of such act ( bill , p . 14 ) , be required to be a member of a registered securities ... proposed section 3 ( a ) ( 18 ) , it would also be a " person associated with a member " under proposed section 3 ( a ) ...
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