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
activities additional analysis arbitrage authority automated believe benefits Boesky Brian Campbell broker-dealers budget Chairman Chinese wall Commission's committee common stock compliance concerning CONGRESS THE LIBRARY cooperation corporate cost data tagging Dennis Levine developed DINGELL disclosure disparate voting rights Division electronic Exchange Act Exchange Commission filers filings fiscal GIULIANI going greenmail HAMMERMAN hearing implement increase inside information insider trading internal investigation investors issuers issues Ivan Boesky Kidder KUNDAHL legislation Levine LIBRARY OF CONGRESS member firms ment Merrill Lynch million NASD NASDAQ NYSE NYSE's Office operational system oversight penalties percent PHELAN pilot problem proposed Rule 19c-4 question registered regulatory request require response RINALDO risk arbitrage SEC's Section Securities and Exchange Securities Exchange securities industry securities laws securities markets SHAD share shareholders SRO's staff statement subcommittee takeover tender offers Thank tion transactions violations voting rights plans York Stock Exchange
Pasajes populares
Página 280 - Board, or is unable to comply with any such provision. (5) has willfully aided, abetted, counseled, commanded, induced, or procured the violation by any other person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940...
Página 187 - ... 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 350 - Associations, and in particular a committee of the Section of Corporation, Banking and Business Law of the American Bar Association, of which Mr.
Página 382 - ... 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 238 - Subcommittee on Commerce, Consumer and Monetary Affairs of the House Committee on Government Operations...
Página 6 - The chair recognizes the ranking minority member on the fufi committee, the gentleman from New York, Mr. Lent. Mr. LENT. Thank you very much, Mr. Chairman. I commend you for calling this hearing.
Página 6 - The gentleman's time has expired. The Chair recognizes the gentleman from New Mexico, Mr. Richardson. Mr. RICHARDSON. Thank you, Mr. Chairman.
Página 159 - I'll be happy to yield. [The prepared statement of Mrs. Collins follows:] PREPARED STATEMENT OF HON. CARDISS COLLINS Mr. Chairman, I want to commend you for initiating this hearing to examine the workings and regulation of the securities industry. Certainly, no industry is more "under fire" today than this one, and deservedly so.
Página 215 - Insider trading" refers generally to the act of purchasing or selling securities, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material nonpublic information about an issuer or the trading market for an issuer's securities.
Página 190 - Blocking laws generally prohibit the disclosure, copying, inspection or removal of documents located in the territory of the enacting state in compliance with orders of foreign authorities. They cannot be waived by private parties because they protect national rather than private interests.