National Securities Market System Act of 1973, Hearings Before the Subcommittee on Securities of ...,93-1, on S.2519 ...,Nivember 12, 13, and 14, 1973, 22-23권1973 - 743페이지 |
도서 본문에서
100개의 결과 중 1 - 5개
1 페이지
... Securities Exchange Act of 1934 to facilitate the development of a national market system , to provide for regulation of securities information processors , to remove unnecessary burdens on competition , to strengthen and im- prove the ...
... Securities Exchange Act of 1934 to facilitate the development of a national market system , to provide for regulation of securities information processors , to remove unnecessary burdens on competition , to strengthen and im- prove the ...
5 페이지
3 1 SEC . 4. Section ( 3 ) ( a ) of the Securities Exchange Act 2 3 4 of 1934 ( 15 U.S.C. 78c ( a ) ) is amended by adding at the end thereof the following new paragraphs : " ( 22 ) The term ' securities information processor ' means 5 ...
3 1 SEC . 4. Section ( 3 ) ( a ) of the Securities Exchange Act 2 3 4 of 1934 ( 15 U.S.C. 78c ( a ) ) is amended by adding at the end thereof the following new paragraphs : " ( 22 ) The term ' securities information processor ' means 5 ...
10 페이지
... SEC . 7. The Securities Exchange Act of 1934 is 4 amended by inserting after section 11 ( 15 U.S.C. 78k ) the 5 following new section : 6 7 8 " SECURITIES INFORMATION PROCESSORS ; NATIONAL MARKET SYSTEM " SEC . 11A . ( a ) ( 1 ) Except ...
... SEC . 7. The Securities Exchange Act of 1934 is 4 amended by inserting after section 11 ( 15 U.S.C. 78k ) the 5 following new section : 6 7 8 " SECURITIES INFORMATION PROCESSORS ; NATIONAL MARKET SYSTEM " SEC . 11A . ( a ) ( 1 ) Except ...
12 페이지
... SEC . 7. The Securities Exchange Act of 1934 is 4 amended by inserting after section 11 ( 15 U.S.C. 78k ) the 5 following new section : 6 བ 7 8 " SECURITIES INFORMATION PROCESSORS ; NATIONAL MARKET SYSTEM “ SEC . 11A . ( a ) ( 1 ) ...
... SEC . 7. The Securities Exchange Act of 1934 is 4 amended by inserting after section 11 ( 15 U.S.C. 78k ) the 5 following new section : 6 བ 7 8 " SECURITIES INFORMATION PROCESSORS ; NATIONAL MARKET SYSTEM “ SEC . 11A . ( a ) ( 1 ) ...
19 페이지
... security , and the desirability 13 of removing impediments to and perfecting the mechanism 14 of a national market system . " 15 SEC . 9. Section 12 of the Securities Exchange Act of 16 1934 ( 15 U.S.C. 781 ) is amended by adding at the ...
... security , and the desirability 13 of removing impediments to and perfecting the mechanism 14 of a national market system . " 15 SEC . 9. Section 12 of the Securities Exchange Act of 16 1934 ( 15 U.S.C. 781 ) is amended by adding at the ...
자주 나오는 단어 및 구문
action amended American Stock Exchange auction market AutEx authority believe bid-offer spreads bill broker or dealer broker-dealers brokerage central market system Chairman commission rates Commission's competitive commission consolidated tape court customers discount effect exchange members exchange membership exchange rules Exchange's fair and orderly fixed commissions fixed minimum commission incentive Instinet issuer legislation listed securities market makers market-makers minimum commission system NASD NASDAQ national market system national securities exchange National Securities Market NEEDHAM nonmember brokers NYSE members NYSE's off-board over-the-counter person procedures prohibition or limitation proposed Section protection of investors public interest purposes quotations reason regional exchanges registered securities regulatory Report require rules and regulations SEC's Section 11A Section 19 securities association Securities Exchange Act securities industry securities information processor Securities Market System self-regulatory organization Senator BIDEN Senator WILLIAMS specialist statement Subcommittee third market tion transactions unlisted trading York Stock Exchange
인기 인용구
676 페이지 - If any 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...
41 페이지 - Commission may prescribe as necessary or appropriate in the public interest, for the protection of investors...
659 페이지 - Commission shall give interested persons an opportunity for the oral presentation of data, views, or arguments, in addition to an opportunity to make written submissions.
677 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...
38 페이지 - The judgment and decree of the court shall be final, subject to review by the Supreme Court of the United States...
676 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.
38 페이지 - Commission finds, by reason of the number of public investors, amount of trading interest in the securities, the nature and extent of the activities of the issuer, income or assets of the issuer, or otherwise, that such action is not inconsistent with the public interest or the protection of investors.
174 페이지 - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest, and to remove impediments to and perfect the mechanism of a free and open market...
45 페이지 - Act, or of this title, or of any rule or regulation under any of such statutes ; or "(3) has willfully aided, abetted, counseled, commanded, induced, or procured the violation by any other person of the Securities Act of 1933, or of the Securities Exchange Act of 1934, or of title II of this Act, or of this title, or of any rule or regulation under any of such statutes.
496 페이지 - Any registered broker or dealer may, upon such terms and conditions as the 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.