 | United States. Securities and Exchange Commission - 1956 - 900 lapas
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...safeguards with respect to the financial responsibility of brokers and dealers.1 1 Prior to amendment by Public No. 719, 75th Cong., approved June 25, 1938,... | |
 | United States - 1938 - 48 lapas
...such rules and regulations as the Com/mission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...safeguards with respect to the financial responsibility of broJcers and dealers." (d) Each registration statement hereafter filed pursuant to the Securities... | |
 | United States. Securities and Exchange Commission - 1960 - 996 lapas
...terms authorizes us to adopt such rules as we may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...safeguards with respect to the financial responsibility of any brokers or dealers who use the malls or the facilities of interstate commerce to effect over-the-counter... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 lapas
...Interstate commerce to effect over-the-counter transactions in contravention of rules we have prescribed for the protection of investors to provide safeguards with respect to the financial responsibility of brokers and dealers. Enle X-15C3-1 provides that no broker or dealer shall permit his aggregate... | |
 | United States - 1973 - 400 lapas
...such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...not limited to, the acceptance of custody and use of customers' securities, and the carrying and use of customers' deposits or credit balances. Such rules... | |
 | United States - 1953 - 1692 lapas
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public by rules and regulations or order may conditionally or unconditionally exempt as being necessar of brokers and dealers. (d) Each registration statement hereafter filed pursuant to the Securities... | |
 | United States - 1955 - 54 lapas
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...safeguards with respect to the financial responsibility of brokers and dealers? (d) Each registration statement hereafter filed pursuant to the Securities... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1960 - 442 lapas
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to securities carried for the accounts of customers. Mr. MACK. Would you mind our interrupting you now... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1959 - 2024 lapas
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to securities carried for the accounts of customers." Such an amendment would vest broad legislative power... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1959 - 658 lapas
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards •with respect to securities carried for the accounts of customers." SEC. 8. Clauses (B) and (C) of paragraph (1) of... | |
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... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial... 
