The Securities Law Enforcement Remedies Act of 1989: Hearings Before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, Second Session on S. 647 ... February 1 and 8, 1990U.S. Government Printing Office, 1990 - 490 páginas |
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Términos y frases comunes
abuses addition administrative proceedings agencies agreements amended arbitration process associated authority awards blank check blind pool Breeden broker broker-dealers brokerage firms capital cease and desist cease-and-desist Chairman civil money penalties Commission's Committee companies concerning Congress corporate court criminal disclosure Enforcement Remedies Act Exchange Commission federal securities laws filed fraudulent hearing impose individuals insider trading involved issue issuer Law Enforcement Remedies legislation Litigation Release manipulation market makers NASAA NASD NASDAQ NYSE OTC Bulletin Board parties penny stock firms penny stock fraud penny stock market person pink sheets predispute arbitration clauses problem public arbitrator Public Citizen pursuant registration regulation regulatory reporting response sanctions Section Securities and Exchange Securities Exchange Act securities industry Securities Law Enforcement securities law violations securities markets Senator BRYAN Senator DODD Senator HEINZ SICA small investors SPORKIN staff statement stock brokers Subcommittee subsection THOMASON U.S. Attorneys
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Página 8 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be granted without bond.
Página 199 - Each separate violation of such an order shall be a separate offense, except that in the case of a violation through continuing failure or neglect to obey a final order of the Commission each day of continuance of such failure or neglect shall be deemed a separate offense.
Página 178 - ... 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 192 - Commission uuder this title, or in any proceeding before the Commission with respect to registration, any statement which 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, or...
Página 172 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate any provision...
Página 182 - ... to comply, or to take steps to effect compliance, with such provision or such rule or regulation thereunder upon such terms and conditions and within such time as the Commission may specify in such order.
Página 172 - ... to cease and desist from committing or causing such violation and any future violation of the same provision, rule, or regulation.
Página 189 - The commencement of proceedings under this subsection shall not, unless specifically ordered by the court, operate as a stay of the Commission's order.
Página 192 - With respect to proceedings conducted pursuant to the Securities Act of 1933, 15 USC 77a et seq., the Securities Exchange Act of 1934, 15 USC 78a et seq., the Public Utility Holding Company Act of 1935, 15 USC 79a et seq., the Trust Indenture Act of 1939, 15 USC 77aaa et seq., the Investment Company Act of 1940, 15 USC 80a-l et seq., and the Investment Advisers Act of 1940, 15 USC 80b-l et seq...
Página 193 - Board, or has failed reasonably to supervise, with a view to preventing violations of the provisions of such statutes, rules, and regulations, another person who commits such a violation, if such other person is subject to his supervision.