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 |
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Página 295
... reference to , and no nexus with , any other source of congressional power . Many provisions of the Securities Exchange Act of 1934 now proscribe certain acts even though the mails or a means of interstate commerce are not used in the ...
... reference to , and no nexus with , any other source of congressional power . Many provisions of the Securities Exchange Act of 1934 now proscribe certain acts even though the mails or a means of interstate commerce are not used in the ...
Página 567
... reference to a recently approved listing application of a type similar to their own of assistance in the preparation of their application , and the Division of Securities of the Exchange will furnish such specimen applications upon ...
... reference to a recently approved listing application of a type similar to their own of assistance in the preparation of their application , and the Division of Securities of the Exchange will furnish such specimen applications upon ...
Página 582
... reference , the applicant may incorporate by reference a copy of the formal plan provided it contains all of the essential details referred to below . If 500 copies of the formal plan are available it may be attached to the listing ...
... reference , the applicant may incorporate by reference a copy of the formal plan provided it contains all of the essential details referred to below . If 500 copies of the formal plan are available it may be attached to the listing ...
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