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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1761 페이지
... tion , Securities and Exchange Commission ......... . Rasweiler , Donald J. , senior vice president and treasurer , Auerbach , Pollak & Richardson , Inc ... 1824 740 425 1377 Redden , James A. , treasurer , State of Oregon_ 1699 , 1700 ...
... tion , Securities and Exchange Commission ......... . Rasweiler , Donald J. , senior vice president and treasurer , Auerbach , Pollak & Richardson , Inc ... 1824 740 425 1377 Redden , James A. , treasurer , State of Oregon_ 1699 , 1700 ...
1767 페이지
... tion 6A .. 649 Schapiro , M. A. , & Co. , Inc .: Article from New York Times , February 2 , 1973 , entitled " A 3d Market Sale Upsets Big Board " . 1439 Additional material supplied for the record by - Continued Schapiro XI.
... tion 6A .. 649 Schapiro , M. A. , & Co. , Inc .: Article from New York Times , February 2 , 1973 , entitled " A 3d Market Sale Upsets Big Board " . 1439 Additional material supplied for the record by - Continued Schapiro XI.
1774 페이지
... tion are subject to antitrust challenge and cannot stand unless unequiv- ocally " 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 ...
... tion are subject to antitrust challenge and cannot stand unless unequiv- ocally " 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 ...
1776 페이지
... tion , not on protective regulation . This is especially important as we move in the industry toward a central market system whose objec- tives are that customers should receive the best possible execution of their orders in any market ...
... tion , not on protective regulation . This is especially important as we move in the industry toward a central market system whose objec- tives are that customers should receive the best possible execution of their orders in any market ...
1778 페이지
... tion performed and not the form of the entity performing such func- tion that controls , vests all authority in the Securities and Exchange Commission . Our first witness will be Hon . John Evans , Commissioner of the Securities and ...
... tion performed and not the form of the entity performing such func- tion that controls , vests all authority in the Securities and Exchange Commission . Our first witness will be Hon . John Evans , Commissioner of the Securities and ...
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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 페이지 - 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 페이지 - 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 페이지 - 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 페이지 - ... recommendation, if any, for the modification or setting aside of the original order. The judgment and decree of the court affirming...
1897 페이지 - 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 페이지 - 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 페이지 - 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 페이지 - 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 페이지 - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
1908 페이지 - 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...