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 ÆäÀÌÁö
... tion , Securities and Exchange Commission .. 1824 740 425 Rasweiler , Donald J. , senior vice president and treasurer , Auerbach , Pollak & Richardson , Inc___ 1377 Redden , James A. , treasurer , State of Oregon_ 1699 , 1700 Refsnes ...
... tion , Securities and Exchange Commission .. 1824 740 425 Rasweiler , Donald J. , senior vice president and treasurer , Auerbach , Pollak & Richardson , Inc___ 1377 Redden , James A. , treasurer , State of Oregon_ 1699 , 1700 Refsnes ...
1767 ÆäÀÌÁö
... 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 ¥Ö¥É.
... 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 ¥Ö¥É.
1774 ÆäÀÌÁö
... 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 ÆäÀÌÁö
... 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 ÆäÀÌÁö
... 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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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 believe BEVIS bill Board broker-dealers brokers Chairman Moss Chicago clearing agency clearing corporations Committee confidential treatment Congress CURTIS CUSIP dealer deposit depository or clearing depository participants Depository Trust Depository Trust Company digit enforcement entities EVANS Federal Reserve System fiduciary FINS firms functions funds settlement funds valued today funds valued tomorrow institutions interface investors issues legislation Midwest mutual funds NASD National Coordinating Group numbering system operations organized participants problems proposed Section 17A public interest record regional depositories registration regulation require responsibility rulemaking Securities and Exchange securities industry securities processing securities transactions settlement of securities shareholder standards statement stock certificate Subcommittee Subsection tion trade Trust Company Uniform Commercial Code York Stock Exchange
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1907 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 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.
1897 ÆäÀÌÁö - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
1897 ÆäÀÌÁö - 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 ÆäÀÌÁö - Commission may prescribe as necessary or appropriate in the public interest, for the protection of investors...
1863 ÆäÀÌÁö - 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 ¬ã p r ¬æ I.
1989 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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.