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 81
Página 53
... transactions made in the ordinary course of business and incident to the establishment or maintenance of a primary ... Transactions by any person other than an issuer , underwriter , or dealer ; transactions by an issuer not involving ...
... transactions made in the ordinary course of business and incident to the establishment or maintenance of a primary ... Transactions by any person other than an issuer , underwriter , or dealer ; transactions by an issuer not involving ...
Página 64
... transactions : " ( 1 ) Transactions by any person other than an issuer , underwriter , or dealer ; transactions by an issuer not involving any public offering ; or transactions by a dealer ( including an underwriter no longer acting as ...
... transactions : " ( 1 ) Transactions by any person other than an issuer , underwriter , or dealer ; transactions by an issuer not involving any public offering ; or transactions by a dealer ( including an underwriter no longer acting as ...
Página 221
... transactions in , all equity se- curities of the issuer . Section 16 ( b ) would provide for the recovery by , or on behalf of , the company of all profits realized by insiders from any combination of purchase and sale transactions in ...
... transactions in , all equity se- curities of the issuer . Section 16 ( b ) would provide for the recovery by , or on behalf of , the company of all profits realized by insiders from any combination of purchase and sale transactions in ...
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