Investor Protection: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, First[- Second] Session, on H. R. 6789, H. R. 6793, S. 1642...April 3; November 19, 20, 21, 1963
U.S. Government Printing Office, 1964 - 1418 lappuses
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action activities additional adopted agencies amended American amount application appropriate approval association authority banks basis become believe bill Board broker or dealer broker-dealers capital Cary Chairman Commission Commission's committee contained continue controls corporation covered customers dealer dealing directors disciplinary disclosure effective examination Exchange Act exemption existing Federal filed firms floor funds further HARRIS important industry insider insurance companies interest investment investors involved issued issuers legislation listed material matter membership NASD necessary offering officers operations organization over-the-counter percent period person practices present problems procedures proposed protection proxy question reason recommendations record reference registered regulation relating representatives respect responsibility result rules Securities Act Securities Exchange shares Special Study specialist specific staff STAGGERS standards statement Stock Exchange substantial tion trading transactions violations York
343. lappuse - N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
671. lappuse - ( 3 ) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from acting as an investment adviser, underwriter, broker, or dealer, or an affiliated person or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
673. lappuse - No broker or dealer shall make use of the mails or of any means or Instrumentality of interstate commerce to effect any transaction In, or to Induce the purchase or sale of, any security (other than commercial paper, bankers...
425. lappuse - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...
64. lappuse - ... executed in whole or in part at or after the filing of the registration statement or which contract has been made not more than two years before such filing.
27. lappuse - Commission is authorized and directed to make a study and investigation of the adequacy, for the protection of investors, of the rules of national securities exchanges and national securities associations, including rules for the expulsion, suspension, or disciplining of a member for conduct inconsistent with just and equitable principles of trade.
565. lappuse - A ) the applicant is twenty-one years of age or over ; (B) the applicant (including, in the case of a corporation, partnership, or association, any individual possessing, directly or indirectly, the power to direct or cause the direction of the management and policies of the corporation, partnership, or association) is not prohibited from transporting, shipping, or receiving firearms or ammunition in interstate or foreign commerce...
534. lappuse - It shall be unlawful for a specialist or an official of the exchange to disclose information in regard to orders placed with such specialist which is not available to all members of the exchange, to any person other than an official of the exchange, a representative of the Commission, or a specialist who may be acting for such specialist...
62. lappuse - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...