Securities Markets Agencies: Hearings, Ninety-first Congress, First SessionU.S. Government Printing Office, 1969 - 442 páginas Committee Serial No. 91-9. Reviews administration of laws regulating securities market. |
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Términos y frases comunes
activity amendments American Stock Exchange assets Association of Securities Association's back office banks Board of Governors broker broker-dealer brokerage BUDGE buy-in capital certificate Chairman clearing COHEN committee concern Corporation customers delivery disciplinary action effect Emergency Rule Exchange Commission execute fails to deliver Fair Practice February 27 filed HAACK HAMER H hedge funds increase institutional interest investors involved issuer issues KEITH market makers member firms member organization membership Merrill Lynch million shares Moss mutual funds National Association NYSE operations over-the-counter market percent period procedures purchase pursuant question received registration statements regulation responsibility restrictions Rules of Fair SAUL SAYRE Section Securities Act Securities and Exchange Securities Dealers Securities Exchange Act securities industry securities markets self-regulatory sell speculative staff STUCKEY tender offer tion trading transactions underwriting Uniform Practice violations volume Walbert Washington York City York Stock Exchange
Pasajes populares
Página 372 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Página 134 - System shall, prior to the effective date of this section and from time to time thereafter, prescribe rules and regulations with respect to the amount of credit that may be initially extended and subsequently maintained on any security...
Página 303 - ... (6) the rules of the association provide for the equitable allocation of dues among its members, to defray reasonable expenses of administration; (7) the rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or univasonable rules of commissions or other charges, and, in general, to protect investors and the public interest...
Página 105 - Please let us know if we can be of any further assistance. "Sincerely, "GEORGE H. BROWN, "Director, Bureau of the Census.
Página 31 - Commission is directed to make a study of the feasibility and advisability of the complete segregation of the functions of dealer and broker, and to report the results of its study and its recommendations to the Congress on or before January 3, 1936.
Página 29 - Commission determines that such exchange has not made the changes so requested, and that such changes are necessary or appropriate for the protection of investors or to insure fair dealing in securities traded in upon such exchange or to insure fair administration of such exchange...
Página 302 - Cong.) of the Interstate and Foreign Commerce Committee of the House of Representatives of the United States of which the Hon.
Página 38 - In view of the foregoing, it is in the public interest to impose the sanctions specified in the Offers of Settlement.
Página 195 - ... nowise limited or restricted by reference to or inference from the terms of any other clause...
Página 368 - Is filed pursuant to § 240.12b-35 of the general rules and regulations under the Securities Exchange Act of 1934...