Securities Acts Amendments of 1975: Hearings Before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, First Session, on S. 249 to Amend the Securities Exchange Act of 1934 and for Other Purposes, February 19, 20, and 21, 1975U.S. Government Printing Office, 1975 - 525 lappuses |
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action Administrative Procedure Act affiliated amended application appropriate regulatory agency authority believe bill broker or dealer brokerage Chairman commission rates Commission's Committee Congress corporate deleted disclosure effecting transactions elimination exchange rules exchange's exempt fiduciary filing firms fixed rates foreign broker-dealers individual retirement accounts institutional investment adviser Investment Company investment managers issuers legislation market makers membership municipal securities dealer mutual fund NASD national market system national securities exchange necessary or appropriate NYSE operating Options Clearing Corporation paragraph participants permit person associated procedures prohibition proposed Section protection of investors provisions public interest pursuant rates of commissions reasonable registered clearing agency regulations thereunder require respect responsibility rules and regulations SEC's section 19 Securities Exchange Act securities industry securities information processor securities transactions self-regulatory organization Senator WILLIAMS specific Subcommittee subparagraph subsection tion trading transfer agent U.S. securities markets York Stock Exchange
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174. lappuse - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact, or has omitted to state in any such application or report any material fact which is required to be stated therein.
266. lappuse - A member, in the conduct of his business , shall observe high standards of commercial honor and just and equitable principles of trade.
334. lappuse - System shall, prior to the effective date of this section and from time to time thereafter, prescribe rules and regulations with respect to the amount of credit that may be initially extended and subsequently maintained on any security...
132. lappuse - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
69. lappuse - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
126. lappuse - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
266. lappuse - In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
361. lappuse - ... under which an amount in excess of the employer's contribution is allocated to the purchase of securities (other than interests or participations in the trust or separate account itself) issued by the employer or any company directly or indirectly controlling, controlled by, or under common control with the employer...
214. lappuse - They sought to protect Americans in their beliefs, their thoughts, their emotions and their sensations. They conferred, as against the Government, the right to be let alone — the most comprehensive of rights and the right most valued by civilized men.
369. lappuse - ... any individual, partnership, corporation, association, or other legal entity, and any union or group of individuals associated in fact although not a legal entity...