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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1762 페이지
... Rules To Tighten Broker Standards " . 1933 Average brokerage fees as a percentage of the dollar value of ... rule 318 . Life company stock trades under $ 100,000 and over $ 300,000 , January - June 1973___ Portfolio turnover in the ...
... Rules To Tighten Broker Standards " . 1933 Average brokerage fees as a percentage of the dollar value of ... rule 318 . Life company stock trades under $ 100,000 and over $ 300,000 , January - June 1973___ Portfolio turnover in the ...
1764 페이지
... rules pertaining to safekeeping and custody but per- mitting banking regulatory agency to establish higher and ad- ditional requirements .-- Possible draft language to clarify section 17A ( q ) ( 2 ) - Federal Trade Commission : 1758 ...
... rules pertaining to safekeeping and custody but per- mitting banking regulatory agency to establish higher and ad- ditional requirements .-- Possible draft language to clarify section 17A ( q ) ( 2 ) - Federal Trade Commission : 1758 ...
1773 페이지
... rules such as those that restrict trading and fix commission rates . And I warned most emphatically that any grant of antitrust immunity to the activities of the exchange would be a " great leap 20-306 O 742 pt . 5 backward , " an ...
... rules such as those that restrict trading and fix commission rates . And I warned most emphatically that any grant of antitrust immunity to the activities of the exchange would be a " great leap 20-306 O 742 pt . 5 backward , " an ...
1774 페이지
... and enforcing rules , no ex- press exemption from the antitrust laws is provided . Thus any implied exemption is only allowable where absolutely " necessary " to the work- ing of the act and the necessity standard is a 1774.
... and enforcing rules , no ex- press exemption from the antitrust laws is provided . Thus any implied exemption is only allowable where absolutely " necessary " to the work- ing of the act and the necessity standard is a 1774.
1775 페이지
... rules that were allegedly violated are essential enough to the operation of the 1934 act that the anticompetitive impact that may result from their enforcement must be tolerated . " Judge McLaren has provided us , by so ruling , with ...
... rules that were allegedly violated are essential enough to the operation of the 1934 act that the anticompetitive impact that may result from their enforcement must be tolerated . " Judge McLaren has provided us , by so ruling , with ...
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자주 나오는 단어 및 구문
additional agency or securities amendments American Bankers Association American Stock Exchange appropriate regulatory agency Association bank regulatory agencies bank regulatory authorities banking agencies Banking and Securities banking authorities believe BEVIS bill Board broker-dealers brokerage brokers Chairman Moss Chicago clearing agency Clearing Corporation Committee confidential treatment Congress CURTIS CUSIP dealer deposit depository participants Depository Trust Depository Trust Company enforcement entities EVANS Federal Reserve System fiduciary firms functions funds settlement funds valued today funds valued tomorrow GARDINER institutions interface investors issues legislation Midwest mutual funds NASD National Coordinating Group numbering system operations organized participants problems proposed Section 17A record regional depositories registration regulation require responsibility rulemaking Securities and Exchange Securities Exchange Act securities industry securities transactions settlement of securities shareholder standards statement stock certificate stock transfer Subcommittee Subsection tion trade Trust Company Uniform Commercial Code York Stock Exchange
인기 인용구
1907 페이지 - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
1907 페이지 - Secretary thereupon shall file in the court the record of the proceedings on which he based his action, as provided In section 2112 of title 28, United States Code. Upon the filing of such petition, the court shall have jurisdiction to affirm the action of the Secretary or to set it aside, in whole or in part, temporarily or permanently, but until the filing of the record, the Secretary may modify or set aside his order.
1907 페이지 - Any person aggrieved by an order issued by the Commission or the Board in a proceeding under this Act to which such person is a party may obtain a review of such order...
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.
1897 페이지 - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
1897 페이지 - Such term also means any person, such as a securities depository, who (i) acts as a custodian of securities in connection with a system for the central handling of securities whereby all securities of a particular class or series of any issuer deposited within the system are treated as fungible and may be, transferred, loaned, or pledged by bookkeeping entry without physical delivery of securities certificates, or (ii) otherwise permits or facilitates the settlement, of securities transactions or...
1785 페이지 - Commission may prescribe as necessary or appropriate in the public interest, for the protection of investors...
1863 페이지 - Board of Governors of the Federal Reserve System © Federal Reserve Bank Cities • Federal Reserve Branch Cities Federal Reserve Bank Facility Guide to Tabular Presentation and Statistical Releases SYMBOLS AND ABBREVIATIONS с p r ф I.
1989 페이지 - Each committee may fix the number of its members to constitute a quorum for taking testimony and receiving evidence, which shall be not less than two.
1902 페이지 - Commission may deem necessary in the public interest or for the protection of investors, withdraw from registration by filing a written notice of withdrawal with the Commission. If the Commission finds that any registered broker or dealer, or any broker or dealer for whom an application for registration is pending, is no longer in existence or has ceased to do business as a broker or dealer, the Commission shall by order cancel the registration or application of such broker or dealer.