SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 1642, a Bill to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Discliplinary Procedures for Registered Brokers and Dealers, and for Other PurposesU.S. Government Printing Office, 1963 - 470 páginas |
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Página 17
... regulation of banks , because these are very heavily regulated - it is alleged - by Federal agencies already ... regulatory agency upon their request . Senator JAVITS . This will mean the potential delegation of the authority given by ...
... regulation of banks , because these are very heavily regulated - it is alleged - by Federal agencies already ... regulatory agency upon their request . Senator JAVITS . This will mean the potential delegation of the authority given by ...
Página 20
... regulation renders this disclosure philosophy unnecessary is to say that bank regulation is an effective substitute for the free exercise of an investor's judgment . Controls which pro- tect against embezzlement and which assure ...
... regulation renders this disclosure philosophy unnecessary is to say that bank regulation is an effective substitute for the free exercise of an investor's judgment . Controls which pro- tect against embezzlement and which assure ...
Página 24
... regulation of insurance companies , which rests almost exclusively in the hands of the States , is designed primarily for the safeguarding of policyholders and is an inadequate substitute for the investor protections provided by S. 1642 ...
... regulation of insurance companies , which rests almost exclusively in the hands of the States , is designed primarily for the safeguarding of policyholders and is an inadequate substitute for the investor protections provided by S. 1642 ...
Página 39
... regulation . It is especially noteworthy that the recommendations reject the traditional argument that banks and insurance companies should be exempt from disclosure require- ments because they are subject to other regulatory ...
... regulation . It is especially noteworthy that the recommendations reject the traditional argument that banks and insurance companies should be exempt from disclosure require- ments because they are subject to other regulatory ...
Página 41
... REGULATORY AGENCY Self - regulation by industry organizations under the supervision of the Commission provides a significant dimension to regulation of the securities markets . This concept of self - regulation is evident in section 6 ...
... REGULATORY AGENCY Self - regulation by industry organizations under the supervision of the Commission provides a significant dimension to regulation of the securities markets . This concept of self - regulation is evident in section 6 ...
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Términos y frases comunes
$1 million adequate amendment American Stock Exchange apply assets authority bank regulation bank stocks believe bill broker or dealer broker-dealers brokers and dealers capital CARY Chairman Commissioners committee Comptroller Congress corporations directors disciplinary disclosure requirements DOMINICK Exchange Commission exemption Federal Reserve System firms full disclosure Funston holders insider trading insurance companies intermediate sanctions investment investor protection issuers issues legislation LEMKAU ment NASD national banks over-the over-the-counter companies over-the-counter market over-the-counter securities panies percent practices Preferred Stock present problems proposed proxy rules proxy solicitation proxy statement public interest real estate securities registered regulation reporting requirements respect SCHAPIRO section 16 Securities Act Securities and Exchange securities association securities business Securities Exchange Act securities industry securities markets self-regulation Senator JAVITS Senator WILLIAMS shareholders shares solicit proxies special study standards stockholders subcommittee substantial tion transactions U.S. Senate Underwriters unlisted York Stock Exchange
Pasajes populares
Página 375 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Página 375 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts or make new findings, by reason of the additional evidence so taken...
Página 373 - Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 382 - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Página 374 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence in the hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Página 406 - ... in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
Página 380 - Cong. the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact...
Página 382 - Commission, on the ground that the testimony or evidence, documentary or otherwise required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 403 - ... no individual shall be prosecuted or subject to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Página 393 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.