Securities Exchange Act Amendments of 1973: Hearings, Ninety-third Congress, First Session, on H.R. 5050 and H.R. 340...U.S. Government Printing Office, 1974 |
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Página viii
... proceedings , The Fundamental Problems of Regional Securities Firms - a presentation before the staff of the Senate and House Select Committees on Small Business - - Opening statement of Senator Thomas J. McIntyre , chairman ...
... proceedings , The Fundamental Problems of Regional Securities Firms - a presentation before the staff of the Senate and House Select Committees on Small Business - - Opening statement of Senator Thomas J. McIntyre , chairman ...
Página xii
... proceedings " as used in section 17 ( A ) ( k ) .. Letter dated April 2 , 1973 , from Walter P. North , Acting General Counsel to Harvey A. Rowen , staff counsel , Committee on Interstate and Foreign Commerce , providing requested ...
... proceedings " as used in section 17 ( A ) ( k ) .. Letter dated April 2 , 1973 , from Walter P. North , Acting General Counsel to Harvey A. Rowen , staff counsel , Committee on Interstate and Foreign Commerce , providing requested ...
Página 20
... proceeding to determine whether a member 18 or person associated with a member should be disciplined 19 rules of a national securities exchange registered under this 20 section shall require that specific charges of any viola- 21 tion ...
... proceeding to determine whether a member 18 or person associated with a member should be disciplined 19 rules of a national securities exchange registered under this 20 section shall require that specific charges of any viola- 21 tion ...
Página 21
... proceeding to determine whether a person 19 shall be denied membership , rules of a national securities 20 exchange registered under this section shall provide that the 21 applicant for membership shall be notified of , and be given an ...
... proceeding to determine whether a person 19 shall be denied membership , rules of a national securities 20 exchange registered under this section shall provide that the 21 applicant for membership shall be notified of , and be given an ...
Página 22
... proceedings with respect to any member thereof , or any per- 6 10 son associated with a member , or denies admission to any ... proceeding to review disciplinary pro- 19 ceedings of a national securities exchange registered under 20 this ...
... proceedings with respect to any member thereof , or any per- 6 10 son associated with a member , or denies admission to any ... proceeding to review disciplinary pro- 19 ceedings of a national securities exchange registered under 20 this ...
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Términos y frases comunes
action administrative agency or securities amendment amicus curiae antitrust appointment Appropriations Committee argue Attorney authority believe bill BRECKINRIDGE broker or dealer broker-dealer BROYHILL CARY certiorari clearing agency COHEN Commis Commissioner concerning Cong Congress congressional counsel decision determine documents ECKHARDT effect enforcement Exchange Commission executive branch Federal Trade Commission functions Government GRISWOLD hearing independent regulatory Interstate Commerce Commission investigation investors issue legislation litigation LOOMIS MACINTYRE matter MCCOLLISTER ment mission national securities exchange NYSE oversight petition position present President problem proposed section provisions public interest question reason recommendations record registered regulatory agencies Reorganization Plan request require respect responsibility SCHOTLAND section 4(d Securities and Exchange securities depository Securities Exchange Act securities industry Senate sion Solicitor General's Office staff statement STUCKEY Subcommittee Supreme Court term testimony tion transactions United States Code views White House York Stock Exchange YOUNG
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Página 121 - ... (6) personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy; (7) investigatory files compiled for law enforcement purposes except to the extent available by law to a party other than an agency...
Página 177 - USC § 45) to fail to disclose, clearly and prominently in all advertising and on every pack, box, carton or other container in which cigarettes are sold to the consuming public that cigarette smoking is dangerous to health and may cause death from cancer and other diseases.
Página 331 - HEARINGS BEFORE HOUSE SUBCOMMITTEE ON COMMERCE AND FINANCE, SERIAL No. 93-50, 1973, PP 333-360 STATEMENT OF HON. A. EVERETTE MacINTYRE, COMMISSIONER, FEDERAL TRADE COMMISSION Mr. Mu'IxTYKE, .Thank you, Mr. Chairman. It is an honor to be here before you and the other members of the committee today and...
Página 120 - A person compelled to submit data or evidence is entitled to retain or, on payment of lawfully prescribed costs, procure a copy or transcript thereof, except that in a nonpublic investigatory proceeding the witness may for good cause be limited to inspection of the official transcript of his testimony.
Página 59 - ... and may require or permit any person to file with it a statement in writing, under oath or otherwise as the Commission shall determine, as to all the facts and circumstances concerning the matter to be investigated.
Página 115 - ... Commission submits any budget estimate or request to the President or the Office of Management and Budget, it shall concurrently transmit a copy of that estimate or request to the Congress.
Página 115 - Any member of the Board may be removed by the President, upon notice and hearing, for neglect of duty or malfeasance in office, but for no other cause.
Página 249 - All committee hearings, records, data, charts, and files shall be kept separate and distinct from the congressional office records of the member serving as chairman of the committee ; and such records shall be the property of the House and all Members of the House shall have access to such records.
Página 59 - Commission is authorized, in its discretion, to publish information concerning any such violations, and to investigate any facts, conditions, practices, or matters which it may deem necessary or proper to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in securing information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Página 135 - Washington lawyers have developed a remarkably subtle method of exposing the source of their power without threatening to exercise it. Perhaps this problem of personal independence can best be summarized in the response to a question addressed to Newton Minow in 1961: "Just what makes you think you are qualified to be Chairman of the FCC?" "Two things, first, I'm not looking for a job in the communications business, and second, I don't want to be reappointed.