 | United States. Securities and Exchange Commission - 1945 - 1290 lapas
...of the Securities Exchange Act and that it is necessary in the public infection 7 (c) (2) provides: 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 any such, member, directly or Indirectly... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 lapas
...the Commission may fix. withdraw its registration. MARGIN REQUIREMENTS ON LONG ACCOUNTS SEC. 6. (a) It shall be unlawful for any member of a national securities exchange or any person who transacts a business in securities through the medium of any such member, directly or indirectly,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 lapas
...such as is now in use. The CHAIRMAN. Where is that? Mr. PECORA. Lines 12 to 18, page 38 [reading] : It shall be unlawful for any member of a national securities exchange, And so forth — to give a proxy, consent, or authorization in respect of any security registered on... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1934 - 1008 lapas
...of brokers. You will notice in section 7 that it provides [reading] : STOCK EXCHANGE PRACTICES 6501 shall be unlawful for any member of a national securities exchange or person who transacts a business in securities through the medium of such member, directly or indirectly... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 lapas
...prescribe as necessary or appropriate in the public interest or for the protection of Investors. (b) It shall be unlawful for any member of a national securities exchange or any broker or denier who transacts a business in securities through the medium of any such member to give a proxy,... | |
 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 lapas
...CORCORAN. Section 7, sir. May I just read it for you? Mr. HOLMES. Yes. Mr. CORCORAN (reading): SEC. 7. It shall be unlawful for any member of a national securities exchange >ir any broker or dealer who transacts a business in securities through the medium of any such member,... | |
 | United States - 1968 - 374 lapas
...pursuant to section 12 of this title." (b) Section 14(b) of said Act is amended to read as follows : "(b) It shall be unlawful for any member of a national...exchange, or any broker or dealer registered under this title, in contravention of such rules and regulations as the Commission may prescribe as necessary... | |
 | United States. Securities and Exchange Commission - 1956 - 900 lapas
...pi-escribe us necessary or appropriate in the public interest or for the protection of investors. (b) It shall be unlawful for any member of a national securities exchange or any broker or denier who transacts a business in securities through the medium of any such member to give a proxy,... | |
 | United States. Securities and Exchange Commission - 1950 - 948 lapas
...of the Exchange Act, Section 14 (b) is not quite tbe same as Section 14 (a). Section 14 (b) makes it unlawful for any member of a national securities exchange or any broker or dealer, who transacts a business in securities through the medium of any such member, to give a proxy, consent... | |
| |
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 any such member... 
