Investor Protection: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, First and Second Sessions, on H.R. 6789, H.R. 6793, S. 1642, Bills to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Disciplinary Procedures for Registered Brokers and Dealers, and for Other PurposesUnited States. Congress. House. Committee on Interstate and Foreign Commerce, United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance U.S. Government Printing Office, 1964 - 1418 páginas |
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Página 9
... discussion , that they already have taken a number of important beneficial steps . In other words , since this Special Study started , there have been a number of changes that have been made which are moving along in the direction which ...
... discussion , that they already have taken a number of important beneficial steps . In other words , since this Special Study started , there have been a number of changes that have been made which are moving along in the direction which ...
Página 10
... discussion until after the report had formally been presented to Congress . However , today , I sent a letter ... discussions with the industry . Then I note that the language of your legislation setting up this investigation said and I ...
... discussion until after the report had formally been presented to Congress . However , today , I sent a letter ... discussions with the industry . Then I note that the language of your legislation setting up this investigation said and I ...
Página 11
... discussion with the industry as is required under the Administrative Procedure Act . By and large , I would say we , as a commission , have committed . ourselves to what we regard as most of the major legislative recom- mendations and ...
... discussion with the industry as is required under the Administrative Procedure Act . By and large , I would say we , as a commission , have committed . ourselves to what we regard as most of the major legislative recom- mendations and ...
Página 20
... ( Discussion off the record . ) Mr. HARRIS . Well , it won't be printed as fast as I thought it would be . Mr. CARY . It won't be too long , I assure you . Mr. HARRIS . Well , I said something to Mr. Hemphill a while ago that some evening ...
... ( Discussion off the record . ) Mr. HARRIS . Well , it won't be printed as fast as I thought it would be . Mr. CARY . It won't be too long , I assure you . Mr. HARRIS . Well , I said something to Mr. Hemphill a while ago that some evening ...
Página 28
... discussion before the Subcommittee last Wednesday , that it migh appropriate for you to indicate to us as to each of these recommendations wh ( 1 ) You have adopted as your own and set forth in your transmittal ter ; ( 2 ) You have ...
... discussion before the Subcommittee last Wednesday , that it migh appropriate for you to indicate to us as to each of these recommendations wh ( 1 ) You have adopted as your own and set forth in your transmittal ter ; ( 2 ) You have ...
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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 HARRIS insider trading insurance companies Investment Company issuer issues KEITH FUNSTON legislation LEMKAU listing application member firms member organizations membership ment mutual fund NASD national securities exchange NYSE officers OREN HARRIS over-the-counter market percent person associated 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
Pasajes populares
Página 339 - N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
Página 411 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...
Página 41 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Página 19 - Commission to make a study and investigation of the adequacy, for the protection of investors, of the rules of national securities exchanges and national securities associations, including rules for the expulsion, suspension, or disciplining of a member for conduct inconsistent with just and equitable principles of trade.
Página 509 - It shall be unlawful for a specialist or an official of the exchange to disclose information in regard to orders placed with such specialist which is not available to all members of the exchange, to any person other than an official of the exchange, a representative of the Commission, or a specialist who may be acting for such specialist...
Página 43 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Página 46 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 38 - ... interest in the question of termination or suspension of such unlisted trading privileges, or on its own motion, the Commission shall by order terminate, or suspend for a period not exceeding twelve months, such unlisted trading privileges for such security if the Commission finds, after appropriate notice and opportunity for hearing, that...
Página 641 - Act of 1940, or of this title, or of any rule or regulation under any of such statutes or has failed reasonably to supervise, with a view to preventing violations of such statutes, rules, and regulations, another person who commits such a violation, if such other person is subject to his supervision.
Página 335 - Commission may, by such rules and regulations as it deems necessary or appropriate in the public interest, define and prescribe terms and conditions with respect to securities held in an investment account and transactions made in the ordinary course of business and incident to the establishment or maintenance of a primary or secondary market.