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 1
... operations . The act , as amended , thus requires that both the exchange and over - the - counter markets should be substantially self- governed by certain rules for the protection of the public in the con- duct of their operations ...
... operations . The act , as amended , thus requires that both the exchange and over - the - counter markets should be substantially self- governed by certain rules for the protection of the public in the con- duct of their operations ...
Página 3
... operations . Government and industry regulation , and the efforts of the financial community , must continue to be directed against prac- tices which undermine the integrity of the securities markets and which can only be harmful to the ...
... operations . Government and industry regulation , and the efforts of the financial community , must continue to be directed against prac- tices which undermine the integrity of the securities markets and which can only be harmful to the ...
Página 5
... operations of boiler room to the disciplined patterns of the responsible , reflecting elaborate supervisory procedures and voluntary codes of conduct . Even in the latter which represent high standards of achievement , serious lapses ...
... operations of boiler room to the disciplined patterns of the responsible , reflecting elaborate supervisory procedures and voluntary codes of conduct . Even in the latter which represent high standards of achievement , serious lapses ...
Página 27
... operation of the principle of self - regulation in the securities markets . He referred to the fact that the ... operations , and that the reexamination of this policy was a primary objective of the committee and of the Congress ...
... operation of the principle of self - regulation in the securities markets . He referred to the fact that the ... operations , and that the reexamination of this policy was a primary objective of the committee and of the Congress ...
Página 34
... operations of the exchanges and of the member firms should be the subject of continuing study . CHAPTER VII . OVER ... operation of the over - the - counter markets . The remaining recommendations , namely , all or parts of items 3 ( c ) ...
... operations of the exchanges and of the member firms should be the subject of continuing study . CHAPTER VII . OVER ... operation of the over - the - counter markets . The remaining recommendations , namely , all or parts of items 3 ( c ) ...
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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.