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, 22-23±Ç1973 - 743ÆäÀÌÁö |
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... tion ; and Harvey L. Pitt , Executive Assistant .. Gordon S. Macklin , president , National Association of Securities Dealers , Inc .; accompanied by : Lloyd J. Derrickson , senior vice president and general counsel .. Jerome M ...
... tion ; and Harvey L. Pitt , Executive Assistant .. Gordon S. Macklin , president , National Association of Securities Dealers , Inc .; accompanied by : Lloyd J. Derrickson , senior vice president and general counsel .. Jerome M ...
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... tion of any customer or issuer with respect to requested access to services offered by the exchange or any mem- ber thereof . In any proceeding to determine whether a broker or dealer shall be denied membership or whether a customer or ...
... tion of any customer or issuer with respect to requested access to services offered by the exchange or any mem- ber thereof . In any proceeding to determine whether a broker or dealer shall be denied membership or whether a customer or ...
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... tion processor , unless registered in accordance with this 11 section , directly or indirectly , to make use of the mails 12 or any means or instrumentality of interstate commerce to 13 perform the functions of a securities information ...
... tion processor , unless registered in accordance with this 11 section , directly or indirectly , to make use of the mails 12 or any means or instrumentality of interstate commerce to 13 perform the functions of a securities information ...
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... tion processor , unless registered in accordance with this 11 section , directly or indirectly , to make use of the mails 12 or any means or instrumentality of interstate commerce to 13 perform the functions of a securities information ...
... tion processor , unless registered in accordance with this 11 section , directly or indirectly , to make use of the mails 12 or any means or instrumentality of interstate commerce to 13 perform the functions of a securities information ...
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... tion for the extension of unlisted trading privileges to a se- 8 curity not listed and registered on a national securities ex- 9 change , the Commission shall , among other matters , take 10 account of the public trading activity in ...
... tion for the extension of unlisted trading privileges to a se- 8 curity not listed and registered on a national securities ex- 9 change , the Commission shall , among other matters , take 10 account of the public trading activity in ...
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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
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676 ÆäÀÌÁö - 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 ÆäÀÌÁö - Commission may prescribe as necessary or appropriate in the public interest, for the protection of investors...
659 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - The judgment and decree of the court shall be final, subject to review by the Supreme Court of the United States...
676 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - ... 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 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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.