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 77
Página 681
... responsibility , the responsibility of discipline of the employee , him- self ? Mr. AMES . I do not think we do transfer that to the Securities and Exchange Commission . I think that remains with us in our own firm . I think our problem ...
... responsibility , the responsibility of discipline of the employee , him- self ? Mr. AMES . I do not think we do transfer that to the Securities and Exchange Commission . I think that remains with us in our own firm . I think our problem ...
Página 759
... responsibility in the area of their opinions on financial statements given to the public as does the Securities and Exchange Commission in determining that proper financial information is prepared and disclosed . In fact , in- dependent ...
... responsibility in the area of their opinions on financial statements given to the public as does the Securities and Exchange Commission in determining that proper financial information is prepared and disclosed . In fact , in- dependent ...
Página 777
... responsibility of such member . Not the SEC , but this semiprivate NASD , will define these re- quirements . This seems to me to be the type of unfettered discretion which the Supreme Court condemned in cases in the past dealing with ...
... responsibility of such member . Not the SEC , but this semiprivate NASD , will define these re- quirements . This seems to me to be the type of unfettered discretion which the Supreme Court condemned in cases in the past dealing with ...
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