Securities Exchange Act Amendments: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-first Congress, Second Session, on S. 2408, a Bill to Amend the Securities Exchange Act of 1934, as Amended

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U.S. Government Printing Office, 1950 - 222 lappuses
 

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49. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
7. lappuse - The Commission is composed of five members, not more than three of whom may be members of the same political party. The...
172. lappuse - ... (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 or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
177. lappuse - custodian bank" is any bank or trust company which is supervised and examined by state or federal authority having supervision over banks and which is acting as custodian for a clearing corporation. (5) Other definitions applying to this article or to specified parts thereof and the sections in which they appear are: "Adverse claim".
194. lappuse - AN ACT To provide for the regulation of securities exchanges and of over-thecounter markets operating in interstate and foreign commerce and through the mails, to prevent inequitable and unfair practices on such exchanges and markets, and for other purposes.
178. lappuse - ... exercising fiduciary powers similar to those permitted to national banks under section 11 (k) of the Federal Reserve Act, 38 Stat. 262 (USC. Title 12, §248k). as amended, and which is subject by law to supervision and examination by State, Territorial or Federal authority having supervision over banking institutions.
47. lappuse - ... quotations or transactions in securities for which unlisted trading privileges on such exchange have been continued or extended pursuant to this subsection. In the publication or making available for publication of such quotations or transactions otherwise than by ticker, such exchange or controlled person shall group under separate headings (A) quotations or transactions in listed securities, and (B) quotations or transactions in securities for which unlisted trading privileges on such exchange...
114. lappuse - NEW JERSEY NEW MEXICO NEW YORK NORTH CAROLINA NORTH DAKOTA OHIO OKLAHOMA OREGON PENNSYLVANIA SOUTH CAROLINA SOUTH DAKOTA...
194. lappuse - An Act to provide full and fair disclosure of the character of securities sold in interstate and foreign commerce and through the mails, and to prevent frauds in the sale thereof, and for other purposes", approved May 27, 1933, as amended, is amended by adding at the end thereof the following: "TITLE III "SEC.
46. lappuse - ... file with the Commission, in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors, such supplementary and periodic information, documents, and reports as may be required...

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