SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 1642, a Bill to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Discliplinary Procedures for Registered Brokers and Dealers, and for Other PurposesU.S. Government Printing Office, 1963 - 470 lappuses |
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1.–5. rezultāts no 100.
32. lappuse
... registration requirements for over - the - counter companies . Senator WILLIAMS . Is it realistic to feel we could finish this part of the presentation and go over to this afternoon for the next part ? Mr. CARY . I think I can shorten ...
... registration requirements for over - the - counter companies . Senator WILLIAMS . Is it realistic to feel we could finish this part of the presentation and go over to this afternoon for the next part ? Mr. CARY . I think I can shorten ...
34. lappuse
... registration statement so long as it had 300 holders of the class of security offered . This section is only a modification of the present law - section 15 ( d ) — which reflects a general congressional intention that a company which ...
... registration statement so long as it had 300 holders of the class of security offered . This section is only a modification of the present law - section 15 ( d ) — which reflects a general congressional intention that a company which ...
40. lappuse
... registration if a firm , or any person associated with it , ( 1 ) has been convicted of a crime involving securities trans- actions or the securities business ; ( 2 ) is enjoined from engaging in any act or practice in connection with ...
... registration if a firm , or any person associated with it , ( 1 ) has been convicted of a crime involving securities trans- actions or the securities business ; ( 2 ) is enjoined from engaging in any act or practice in connection with ...
47. lappuse
... registration . Section 6 ( b ) of the bill would add needed flexibility to the Commission's disciplinary powers to overcome these limitations . At the present time , if an individual connected with a securities firm violates the law ...
... registration . Section 6 ( b ) of the bill would add needed flexibility to the Commission's disciplinary powers to overcome these limitations . At the present time , if an individual connected with a securities firm violates the law ...
48. lappuse
... registration would be eliminated . It creates a gap in the regulatory pattern for investor protection which would become more striking if all other brokers and dealers are required to become members of self - regulatory bodies . Since ...
... registration would be eliminated . It creates a gap in the regulatory pattern for investor protection which would become more striking if all other brokers and dealers are required to become members of self - regulatory bodies . Since ...
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$1 million accounting additional adequate amendment American Stock Exchange apply assets authority bank stocks believe bill broker or dealer broker-dealers brokers and dealers capital CARY Chairman commissioner committee Comptroller Congress corporations directors disciplinary disclosure requirements DOMINICK earnings ETHERINGTON Exchange Commission exemption Federal Federal Reserve System filed full disclosure Funston holders insider trading insurance companies intermediate sanctions investor protection issuers issues June 18 LEMKAU listed companies ment NASD national banks operations over-the-counter companies over-the-counter market over-the-counter securities panies percent practices present problems proxy rules proxy solicitation proxy statement public interest real estate securities registered regulation regulatory reporting requirements respect SCHAPIRO Securities Act Securities and Exchange securities association securities business Securities Exchange Act securities industry securities markets self-regulation Senator JAVITS Senator WILLIAMS shareholders shares solicit proxies special study standards stock option stockholders subcommittee substantial tion transactions U.S. Senate Underwriters unlisted York Stock Exchange
Populāri fragmenti
401. lappuse - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
408. lappuse - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
445. lappuse - 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.
406. lappuse - It shall be unlawful for any person in the sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact от any omission to state a material fact...
408. lappuse - Commission, on the ground that the testimony or evidence, documentary or otherwise required of him may tend to incriminate him or subject him to a penalty or forfeiture...
393. lappuse - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
398. lappuse - ... (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.
407. lappuse - ... to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
423. lappuse - ... (1) any member appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed, shall be appointed for the remainder of such term; and (2) the terms of office of the members first taking office after the date of...
418. lappuse - Act, the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, or the Trust Indenture Act of 1939...