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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1777 ÆäÀÌÁö
... feel can have lasting benefits to both investors and broker - dealers . My years as chairman of the Committee on the ... feels strongly that these vital choices affecting national securities policy ought to be vested with the independent ...
... feel can have lasting benefits to both investors and broker - dealers . My years as chairman of the Committee on the ... feels strongly that these vital choices affecting national securities policy ought to be vested with the independent ...
1779 ÆäÀÌÁö
... feel that a great deal more progress could be made . We believe that coordination of the activities of these entities is necessary and fundamental to provide adequate facilities to meet the needs of the Nation's investors for processing ...
... feel that a great deal more progress could be made . We believe that coordination of the activities of these entities is necessary and fundamental to provide adequate facilities to meet the needs of the Nation's investors for processing ...
1790 ÆäÀÌÁö
... feel like a bank and be regulated like a bank . " The Commission will make every effort to accom- modate these concerns . 7 Subsection ( q ) of proposed Section 17A provides that this Section shall not apply to any transfer agent with ...
... feel like a bank and be regulated like a bank . " The Commission will make every effort to accom- modate these concerns . 7 Subsection ( q ) of proposed Section 17A provides that this Section shall not apply to any transfer agent with ...
1797 ÆäÀÌÁö
... feel it is necessary for the establishment of rules and regulations which would apply to them , regardless of whether they give us permission or not . We can't live with any less than this , let me put it that way . The clarity of the ...
... feel it is necessary for the establishment of rules and regulations which would apply to them , regardless of whether they give us permission or not . We can't live with any less than this , let me put it that way . The clarity of the ...
1799 ÆäÀÌÁö
... feel one regulatory body must have the final authority . Where there are conflicts , someone must have authority to resolve them . We hope these conflicts would be minimal , however , where you have joint regulatory authority , there ...
... feel one regulatory body must have the final authority . Where there are conflicts , someone must have authority to resolve them . We hope these conflicts would be minimal , however , where you have joint regulatory authority , there ...
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agency or securities amendments American Bankers Association American Stock Exchange appropriate regulatory agency Association bank regulatory agencies banking agencies believe BEVIS bill Board broker-dealers brokerage brokers Chairman Moss Chicago clearing agency Clearing Corporation commission rates Committee CURTIS CUSIP dealers deposit Depository Trust Company directors effect enforcement entities Exchange Commission Federal Reserve System firms functions funds settlement funds valued today funds valued tomorrow GARDINER institutions interface investment issuer issues legislation Letter dated membership mutual funds NASD National Coordinating Group negotiated rates numbering system operations participants problems proposed Section 17A public interest record registered regulation require responsibility rulemaking rules Securities and Exchange Securities Exchange Act securities industry securities processing securities transactions settlement of securities shareholder shares standards statement stock certificate stock transfer Subsection third market tion trade Trust Company Uniform Commercial Code vice president York Stock Exchange YOUNG
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1908 ÆäÀÌÁö - 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...
1977 ÆäÀÌÁö - No broker or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
1977 ÆäÀÌÁö - System shall, prior to the effective date of this section and from time to time thereafter, prescribe rules and regulations with respect to the amount of credit that may be initially extended and subsequently maintained on any security...
1908 ÆäÀÌÁö - ... recommendation, if any, for the modification or setting aside of the original order. The judgment and decree of the court affirming...
1897 ÆäÀÌÁö - Federal savings and loan associations, and it may insure the accounts of building and loan, savings and loan, and homestead associations and cooperative banks organized and operated according to the laws of the State, District, or Territory in which they are chartered or organized.
1908 ÆäÀÌÁö - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless; there were reasonable grounds for failure so to do.
1904 ÆäÀÌÁö - Commission, on its own motion, or upon application by any person aggrieved thereby filed within thirty days after such action has been taken or within such longer period as the Commission may determine. Application to the Commission for review, or the institution of review by the Commission on its own motion, shall...
1908 ÆäÀÌÁö - 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).
1897 ÆäÀÌÁö - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
1908 ÆäÀÌÁö - 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...