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 342
... regulation nor self - regulation can hope to protect the imprudent investor against himself . I think it is extremely impor- tant that a point - by - point approach should not ignore the overall im- pact on the industry , and that any ...
... regulation nor self - regulation can hope to protect the imprudent investor against himself . I think it is extremely impor- tant that a point - by - point approach should not ignore the overall im- pact on the industry , and that any ...
Página 1417
... REGULATION IS PRESENTLY MORE COMPLETE , IN MANY RESPECTS , THAN SEC - PROPOSED REGULATION AND , SHORTLY , CAN BE MADE MORE COMPLETE IN ALL RESPECTS THAN SEC REGULATION I State regulation has the power of annual licensing . SEC does not ...
... REGULATION IS PRESENTLY MORE COMPLETE , IN MANY RESPECTS , THAN SEC - PROPOSED REGULATION AND , SHORTLY , CAN BE MADE MORE COMPLETE IN ALL RESPECTS THAN SEC REGULATION I State regulation has the power of annual licensing . SEC does not ...
Página 1418
... regulation of proxy or insider trad ing would require action by 50 State legislatures . ( Testimony of Chairman Cary , before Subcommittee on Commerce and Finance , House of Representatives . November 19 , 1963. ) This assumption is ...
... regulation of proxy or insider trad ing would require action by 50 State legislatures . ( Testimony of Chairman Cary , before Subcommittee on Commerce and Finance , House of Representatives . November 19 , 1963. ) This assumption is ...
Contenido
Hearings held on Page 883 9383 2 NE BERT | 2 |
Communications submitted for the recordContinued | 5 |
Text | 43 |
Derechos de autor | |
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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