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 86
Página 69
... respect to such class of securities containing , in essence , the same information required in section 12 ( b ) of the Securities Exchange Act of 1934 from an issuer making application to register a security on a national securities ...
... respect to such class of securities containing , in essence , the same information required in section 12 ( b ) of the Securities Exchange Act of 1934 from an issuer making application to register a security on a national securities ...
Página 182
... respect of any security registered on any national securities exchange . Section 14 ( a ) would be amended to extend that rulemaking authority to all over- the - counter securities registered under the new section 12 ( g ) . Section 14 ...
... respect of any security registered on any national securities exchange . Section 14 ( a ) would be amended to extend that rulemaking authority to all over- the - counter securities registered under the new section 12 ( g ) . Section 14 ...
Página 220
... respect of the calendar year 1964 , regardless of the number of shareholders of record at any later date in the year and re- gardless of whether filing would be required under the undertaking . There will be an obligation to file in respect ...
... respect of the calendar year 1964 , regardless of the number of shareholders of record at any later date in the year and re- gardless of whether filing would be required under the undertaking . There will be an obligation to file in respect ...
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