Securities Exchange Act Amendments of 1973: Hearings, Ninety-third Congress, First Session, on H.R. 5050 and H.R. 340...U.S. Government Printing Office, 1974 |
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73개의 결과 중 1 - 5개
1774 페이지
... necessary " to make the 1934 act work . It is true that under the act , Congress delegated its regulatory responsibility , and clothed the SEC with broad supervisory and regulatory powers over the regis- tered exchanges ; but as every ...
... necessary " to make the 1934 act work . It is true that under the act , Congress delegated its regulatory responsibility , and clothed the SEC with broad supervisory and regulatory powers over the regis- tered exchanges ; but as every ...
1775 페이지
... necessary to working of the act and , even then , only to the minimum extent necessary . Crucially , if the implied exemption is to be kept at the minimum , writes the Judge , " there must first be an inquiry as to whether the rules ...
... necessary to working of the act and , even then , only to the minimum extent necessary . Crucially , if the implied exemption is to be kept at the minimum , writes the Judge , " there must first be an inquiry as to whether the rules ...
1776 페이지
... necessary to protect investors or otherwise serve the public interest , and indeed has had serious adverse effects on the securities markets . In other words , gentlemen , in the securities markets , as in all our markets , we must rest ...
... necessary to protect investors or otherwise serve the public interest , and indeed has had serious adverse effects on the securities markets . In other words , gentlemen , in the securities markets , as in all our markets , we must rest ...
1777 페이지
... necessary rules . By making the SEC authority clear in this regard , H.R. 5050 affords added protection . Finally , there is title I of your bill which aims at making the SEC more independent of the executive branch . This is a laudable ...
... necessary rules . By making the SEC authority clear in this regard , H.R. 5050 affords added protection . Finally , there is title I of your bill which aims at making the SEC more independent of the executive branch . This is a laudable ...
1779 페이지
... necessary and fundamental to provide adequate facilities to meet the needs of the Nation's investors for processing securities transactions . There is no doubt that an adequate interface among these entities must be developed . The ...
... necessary and fundamental to provide adequate facilities to meet the needs of the Nation's investors for processing securities transactions . There is no doubt that an adequate interface among these entities must be developed . The ...
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additional agency or securities amendments American Bankers Association American Stock Exchange appropriate regulatory agency Association bank regulatory agencies bank regulatory authorities banking agencies believe BEVIS bill Board broker-dealers brokerage brokers Chairman Moss Chicago clearing agency Clearing Corporation Committee Congress CURTIS CUSIP dealer deposit depository participants Depository Trust Depository Trust Company enforcement entities EVANS Exchange Commission Federal Reserve System firms functions funds settlement funds valued today funds valued tomorrow GARDINER institutions interface investors issues legislation Letter dated Midwest mutual funds NASD National Coordinating Group numbering system operations participants problems proposed Section 17A public interest record regional depositories registration regulation require responsibility rulemaking Securities and Exchange Securities Exchange Act securities industry securities processing securities transactions settlement of securities shareholder standards statement stock certificate stock transfer Subcommittee Subsection tion trade Trust Company Uniform Commercial Code vice president York Stock Exchange