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
96개의 결과 중 1 - 5개
페이지
... specific exploration of the many proposals embodied in this legislation . Following this consider- ation , I look forward to prompt legislative action . Before we introduce our first witness , let me insert a copy of S. 2519 into the ...
... specific exploration of the many proposals embodied in this legislation . Following this consider- ation , I look forward to prompt legislative action . Before we introduce our first witness , let me insert a copy of S. 2519 into the ...
2 페이지
... specific exploration of the many proposals embodied in this legislation . Following this consider- ation , I look forward to prompt legislative action . Before we introduce our first witness , let me insert a copy of S. 2519 into the ...
... specific exploration of the many proposals embodied in this legislation . Following this consider- ation , I look forward to prompt legislative action . Before we introduce our first witness , let me insert a copy of S. 2519 into the ...
7 페이지
... specific grounds for denial or prohibition or limitation which are under con- sideration ; that a record shall be kept ; and that the determination shall set forth the specific grounds upon which the denial or prohibition or limitation ...
... specific grounds for denial or prohibition or limitation which are under con- sideration ; that a record shall be kept ; and that the determination shall set forth the specific grounds upon which the denial or prohibition or limitation ...
25 페이지
... specific pro- vision of this title , or rule or regulation thereunder , or rule of the association of which any such act or practice , or omission to act , is deemed to be in vio- lation ; " ( C ) a statement whether the acts or ...
... specific pro- vision of this title , or rule or regulation thereunder , or rule of the association of which any such act or practice , or omission to act , is deemed to be in vio- lation ; " ( C ) a statement whether the acts or ...
26 페이지
... be dis- ciplined , such rules shall require that specific charges be brought ; that such member or person shall be notified of , and be given an opportunity to defend against , such 25 1 charges ; that a record shall be kept 26.
... be dis- ciplined , such rules shall require that specific charges be brought ; that such member or person shall be notified of , and be given an opportunity to defend against , such 25 1 charges ; that a record shall be kept 26.
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.