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 94
Página 48
... violations of such statutes , rules , and reg- ulations , another person who commits such a violation , if such other person is subject to his supervision ; or ( F ) is subject to an order of the Commission entered pursuant to paragraph ...
... violations of such statutes , rules , and reg- ulations , another person who commits such a violation , if such other person is subject to his supervision ; or ( F ) is subject to an order of the Commission entered pursuant to paragraph ...
Página 233
... violation of such rules of the association as were alleged by it to have been violated . Even if these findings are made , section 15A ( h ) ( 2 ) provides that if the Commission finds that the penalty imposed upon the member is ...
... violation of such rules of the association as were alleged by it to have been violated . Even if these findings are made , section 15A ( h ) ( 2 ) provides that if the Commission finds that the penalty imposed upon the member is ...
Página 625
... violation is uncovered . The study notes that violation of article III , section 1 , as a result of violations of the net capital rule , were found in over 100 cases in the 3 - year period from 1959 to 1961 . Section 2 : This section ...
... violation is uncovered . The study notes that violation of article III , section 1 , as a result of violations of the net capital rule , were found in over 100 cases in the 3 - year period from 1959 to 1961 . Section 2 : This section ...
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