Securities Regulation Issues: Hearings Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundredth Congress, First Session, March 5, May 5, and June 4, 1987U.S. Government Printing Office, 1988 - 449 páginas |
Otras ediciones - Ver todas
Términos y frases comunes
action activities additional appropriate arbitrage authority automated believe benefits Boesky broker-dealers budget Chairman Commission's committee common stock compliance concern Congress COOPER corporate cost data tagging Dennis Levine developed DINGELL disclosure disgorgement disparate voting rights electronic enforcement Exchange Act Exchange Commission filers filings fiscal FOGASH gentleman GIULIANI greenmail HAMMERMAN hearing implemented increase insider trading internal investigation investment banking investors issuers issues Ivan Boesky Jefferies & Co Kidder KUNDAHL legislation LENT Levine member firms ment Merrill Lynch million NASD NYSE NYSE's Office operational system oversight penalty percent PHELAN pilot problem procedures question registered regulatory request require response RINALDO risk arbitrage SEC's Section Securities and Exchange Securities Exchange securities industry securities laws securities markets self-regulatory organizations SHAD share shareholders Siegel SRO's staff statement subcommittee surveillance takeover tender offer Thank tion transactions violations voting rights plans York Stock Exchange
Pasajes populares
Página 189 - ... be liable jointly and severally with and to the same extent as such controlled person to any person to whom such controlled person is liable, unless the controlling person acted in good faith and did not directly or indirectly induce the act or acts constituting the violation or cause of action.
Página 340 - Associations, and in particular a committee of the Section of Corporation, Banking and Business Law of the American Bar Association, of which Mr.
Página 374 - ... for purposes of the Investment Company Act of 1940 shall mean an investment company that, together with other investment companies in the same group of related investment companies, has net assets of $50 million or less as of the end of its most recent fiscal year.
Página 232 - Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations...
Página 227 - Commission before the Subcommittee on Antitrust, Monopolies and Business Rights of the Senate Judiciary Committee concerning federal regulation of tender offers.
Página 6 - The chair recognizes the ranking minority member on the full committee, the gentleman from New York, Mr. Lent. Mr. LENT. Thank you very much, Mr. Chairman. I commend you for calling this hearing.
Página 173 - We believe such behavior is injurious to the preservation of a fair and orderly market and should not be tolerated. (5) Do you think new legislation is needed to correct any abuses in this area?
Página 243 - SEC reviews of these filings have increased 71%. The number of registered broker-dealers has increased 57%. SEC broker-dealer oversight examinations have increased 73% and self-regulatory organization inspections 83%. The number of registered investment companies and advisers has increased 86%. SEC inspections have increased 155%. The number of shares traded on the New York Stock Exchange has increased 186%, but the number of transactions has increased only 53% because of the growth of large transactions...
Página 284 - The Tax Reform Act of 1986: The Tax Reform Act of 1986, Pub.
Página 41 - The number of investors has increased 46%. * Complaints to the SEC have increased 55%. Since 1982 all are reviewed. Most involve brokerage back office matters. They are referred to the firms' compliance departments for investigation and written response, and are tracked by the SBC through resolution.