| United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 lapas
...secured by the pledge or hypothecation of any security (other than an exempted security) registered on a national securities exchange, in contravention of such rules and regulations as may be adopted from time to time by the Federal Reserve Board for the purpose of preventing the... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 lapas
...create a market for both the purchase and sale of any security (other than an exempted security) except on a national securities exchange, in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate to insure to Investors protection comparable... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 lapas
...create a market for both the purchase and sale of any security (other than an exempted security) except on a national securities exchange, In contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate to insure to investors protection comparable... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 lapas
...market in which is predominantly intrastate and which have not previously been listed or registered) otherwise than on a national securities exchange in...comparable to that provided by and under authority of this Act in the case of national securities exchanges." SEC. 2. All brokers and dealers for whom registrations... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 lapas
...regulations concerning the over-the-counter markets "necessary or appropriate in the public interest and to insure to investors protection comparable to that...title in the case of national securities exchanges." To that end, the Commission was authorized to adopt rules and regulations providing "for the regulation... | |
| United States. Securities and Exchange Commission - 1951 - 862 lapas
...regulations as the Commission may prescribe as necessary or appropriate in the public interest and to insure to investors protection comparable to that...title in the case of national securities exchanges." We issued rules from time to time to implement this provision; and, in the light of experience gained... | |
| United States. Securities and Exchange Commission - 1957 - 756 lapas
...attempt to Induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial bills)...exchange, in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection... | |
| United States. Securities and Exchange Commission - 1952 - 920 lapas
...adopted the Securities Exchange Act, namely, "to insure to investors [in the over-the-counter markets] protection comparable to that provided by and under...title in the case of national securities exchanges." (Original Section 15 of the Act). The Exchange Act as originally passed in 1934 dealt briefly and generally... | |
| United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 lapas
...effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, by means of any manipulative, deceptive, or other fraudulent device or contrivance. The Commission... | |
| United States - 1938 - 48 lapas
...in, or to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, unless such broker or dealer is registered in accordance with subsection (b) of this section.0 (b)... | |
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