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" Report pursuant to Section 21 (a) of the Securities Exchange Act of 1934 regarding the NASD and the NASDAQ Market, August 8, 1996. "
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ... - Página 206
por David P. McCaffrey, David W. Hart - 1998 - 224 páginas
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Report on the Study and Investigation of the Work, Activities ..., Volúmenes6-8

United States. Securities and Exchange Commission - 1936
...holder of preferred or common shares. Under these circumstances, it has appeared to the Commission that, pursuant to Section 21 (a) of the Securities Exchange Act of 1934, it is appropriate for the Commission, in the public interest and in the interest of all stockholders...
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Decisions and Reports, Volumen8

United States. Securities and Exchange Commission - 1941
...crude drug depart1 See Report on Investigation of McKetion <£ Bobbin*, Inc., made by this Commission, pursuant to Section 21 (a) of the Securities Exchange Act of 1934 and the reports of the trustee dated January 27 and July 1, 1930. * SD Leldeadorf it Co., accountants...
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Activities of the Securities and Exchange Commission and the Post ..., Parte2

United States. Congress. Senate. Committee on the Judiciary - 1946
...forth in Paragraph II hereof or any acts or practices of similar purport or object. V IT is ORDERED, pursuant to Section 21 (a) of the Securities Exchange Act of 1934 and Section 20 (a) of the Securities Act of 1933, that an investigation be made to determine the matters...
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Activities of the Securities and Exchange Commission and the Post Office ...

United States. Congress. Senate. Committee on the Judiciary - 1947
...forth in Paragraph II hereof or any acts or practices of similar purport or object. IT is ORDERED, pursuant to Section 21 (a) of the Securities Exchange Act of 1934 and Section 20 (a) of the Securities Act of 1933, that an investigation be made to determine the matters...
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The Code of Federal Regulations of the United States of America

1971
...the Investment Advisers Act of 1940, 15 USC80b-13; (7) To order the making of private investigations pursuant to section 21 (a) of the Securities Exchange Act of 1934, on the request of the Division of Corporation Finance or the Division of Corporate Regulation, with...
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Study of Securities and Exchange Commission: Hearings Before a ..., Partes1-2

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1952 - 1224 páginas
...Securities and Exchange Commission Instituted an investigation into the Ward La Franc* transaction pursuant to Section 21 (a) of the Securities Exchange Act of 1934. (It should be. observed that the investigation was not initiated under the proxy regulations of the...
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Investigation of Regulatory Commissions and Agencies: Hearings [and Index ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1958
...Securities Exchange Act of 1934 and the Commission's rules and regulations. IT is OKDERED, therefore, pursuant to Section 21 (a) of the Securities Exchange Act of 1934 that a private investigation be held to inquire into and concerning the matters set forth in paragraphs...
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Mutual Fund Amendments: Hearings Before the Subcommittee on Commerce and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1970 - 952 páginas
...it has issued an order for the institution of an investigation and a public investigatory bearing, pursuant to Section 21 (a) of the Securities Exchange Act of 1934 to consular whether any changes should be made in the rules, policies, practices ¡md procedures of...
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Study of the Securities Industry: Hearings, Ninety-second Congress, First ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 4623 páginas
...394 INTRODUCTION This report is the result of an inquiry conducted under a Commission order issued pursuant to Section 21 (a) of the Securities Exchange Act of 1934, directing a private investigation in the matter of "Rules, Regulations and Practices of National Securities...
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Emergency Loan Guarantee Legislation: Hearings, Ninety-second Congress ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1971 - 1226 páginas
...Commission on June 4, 1970, ordered a public inquiry into the disclosure practices of defense contractors pursuant to section 21 (a) of the Securities Exchange Act of 1934. The public investigation of disclosure practices began with a survey of recent filings by the 50 largest...
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