Capital Markets Deregulation and Liberalization Act of 1995: Hearings Before the Subcommittee on Telecommunications and Finance of the Committee on Commerce, House of Representatives, One Hundred Fourth Congress, First Session, on H.R. 2131, November 14, November 30, and December 5, 1995, Volumen4U.S. Government Printing Office, 1996 - 334 páginas |
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Página 3
... impose real economic costs on the Nation by impeding capital formation and , in turn , job creation . I , as you know , Mr. Chairman , recently had a town hall meeting with Chairman Levitt in Columbus , where we had over 1,000 peo- ple ...
... impose real economic costs on the Nation by impeding capital formation and , in turn , job creation . I , as you know , Mr. Chairman , recently had a town hall meeting with Chairman Levitt in Columbus , where we had over 1,000 peo- ple ...
Página 12
... imposed similarity is counterproductive . It removes overlapping regulation that is cost- ly but is not protecting investors . It relies on market forces where appropriate yet it maintains strong protections against fraud . I comment ...
... imposed similarity is counterproductive . It removes overlapping regulation that is cost- ly but is not protecting investors . It relies on market forces where appropriate yet it maintains strong protections against fraud . I comment ...
Página 14
... imposing costs that would not otherwise exist . So government efforts to increase economic growth should consider how ... impose similarity - a " one size fits all " approach — and maintain the status quo tend to stifle efficiency and ...
... imposing costs that would not otherwise exist . So government efforts to increase economic growth should consider how ... impose similarity - a " one size fits all " approach — and maintain the status quo tend to stifle efficiency and ...
Página 15
... imposes uniformity on tender offers and distributes the gains produced by tender offers from active to passive shareholders . As a result , these tender offer regulations reduce the gains to bidders and thereby reduce the number of ...
... imposes uniformity on tender offers and distributes the gains produced by tender offers from active to passive shareholders . As a result , these tender offer regulations reduce the gains to bidders and thereby reduce the number of ...
Página 17
... impose excessive and unnecessary costs on the overwhelm- ing majority of good faith market participants and that it is becom- ing a significant threat to continued competitiveness of the U.S. markets . I think we would do well to ...
... impose excessive and unnecessary costs on the overwhelm- ing majority of good faith market participants and that it is becom- ing a significant threat to continued competitiveness of the U.S. markets . I think we would do well to ...
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Términos y frases comunes
Arthur Levitt banks BEESE believe bill blue sky laws broker broker-dealers capital formation capital markets Chairman Levitt changes commissioners Committee commodity pool competition concerns Congress corporate costs DINGELL disclosure efficiency eliminate enforcement ESHOO Exchange Act Exchange Commission exemptive authority federal securities laws fees filed firms fraud impose industry initial public offering institutional client institutional investors investment advisers investment companies investment decisions investor protection issue issuers kets KLINK LAROCHE legislation margin regulation margin requirements market participants marketplace ment merit regulation mutual funds NASAA NASD NASDAQ oversight portfolio proposed provisions public offering registration requirements regu repeal responsibility risk role SEC's Section Securities Act Securities and Exchange securities dealers securities markets securities offerings securities regulation shareholders sion standards statutes subcommittee suitability obligations tender offers testimony Thank tion trading transactions trustee U.S. markets Williams Act York Stock Exchange
Pasajes populares
Página 307 - Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory, where the issuer of such security is a person resident and doing business within, or, if a corporation, incorporated by and doing business within, such State or Territory.
Página 204 - In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
Página 36 - Act of 1934 is amended by adding at the end thereof a new subsection as follows : "(d) The Commission is authorized and directed 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...
Página 118 - 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 any such member, directly or indirectly to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer...
Página 146 - HON. JOHN D. DINGELL, A REPRESENTATIVE IN CONGRESS FROM THE STATE OF MICHIGAN Mr. Chairman, thank you for holding this hearing.
Página 301 - Dealers (NASD), the New York Stock Exchange (NYSE) and the American Stock Exchange (AMEX), in which each signatory has agreed to share information regarding the scheduling of brokerdealer audits.
Página 120 - The committee has taken extreme care to avoid tipping the balance of regulation either in favor of management or in favor of the person making the takeover bid.
Página 175 - ... the registration statement as of its effective date or as of any earlier date in the case of an order denying effectiveness...
Página 122 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 120 - The Commission shall, for the purposes of this subsection, by rules and regulations define, and prescribe means reasonably designed to prevent, such acts and practices as are fraudulent, deceptive, or manipulative.