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
페이지
... ADDITIONAL STATEMENTS AND DATA American Insurance Association , exchange of letters with Senator Williams 584 American Stock Exchange , supplementary memorandum of comments on S. 2519- 535 AutEx , Inc. , subsequent letters answering ...
... ADDITIONAL STATEMENTS AND DATA American Insurance Association , exchange of letters with Senator Williams 584 American Stock Exchange , supplementary memorandum of comments on S. 2519- 535 AutEx , Inc. , subsequent letters answering ...
페이지
... Stock Exchange ---- Securities Industry Association , letter from Leon T. Kendall , president , answering additional written questions of Senator Williams-- 115 119 120 121 733 GENERAL BOOKBINDING CO . 77 53 BB 378 ST 005 IV.
... Stock Exchange ---- Securities Industry Association , letter from Leon T. Kendall , president , answering additional written questions of Senator Williams-- 115 119 120 121 733 GENERAL BOOKBINDING CO . 77 53 BB 378 ST 005 IV.
33 페이지
... addition , or deletion . No 3 such proposed change , addition , or deletion shall take effect 4 except in accordance with the provisions of this subsection . 5 11 " ( 2 ) The Commission shall , upon the filing of a pro- 6 posed change ...
... addition , or deletion . No 3 such proposed change , addition , or deletion shall take effect 4 except in accordance with the provisions of this subsection . 5 11 " ( 2 ) The Commission shall , upon the filing of a pro- 6 posed change ...
34 페이지
... addition , or deletion and 12 declaring it effective or disapproving such proposed 234 13 14 15 16 17 18 19 2 26 20 21 change , addition , or deletion if it finds that the rules of the self - regulatory organization as so changed would ...
... addition , or deletion and 12 declaring it effective or disapproving such proposed 234 13 14 15 16 17 18 19 2 26 20 21 change , addition , or deletion if it finds that the rules of the self - regulatory organization as so changed would ...
35 페이지
... addition , or deletion and declaring it effective or disapproving such proposed change , addition , or deletion if it finds that the rules of the self - regulatory organization as so changed would be inconsistent with the registration ...
... addition , or deletion and declaring it effective or disapproving such proposed change , addition , or deletion if it finds that the rules of the self - regulatory organization as so changed would be inconsistent with the registration ...
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.