SEC Authorization Request and Related Issues: Hearing Before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, First Session, on H.R. 1416 a Bill to Amend the Securities and Exchange Act of 1934 to Authorize Appropriations for the Securities and Exchange Commission for Fiscal Years 1984 Through 1986; H.R. 560 a Bill to Amend Section 4 of the Securities and Exchange Act of 1934 to Permit the Securities and Exchange Commission to Accept Certain Payments and Reimbursements with Respect to Attendance at Meetings and Conferences Concerning the Functions of the Commission; H.R. 561 a Bill to Amend Section 4 of the Securities and Exchange Act of 1934 to Permit Payments of Relocation Expenses to Participants in the Professional Fellows Program of the Securities and Exchange Commission, Notwithstanding and Other Provision of Law; H.R. 562 a Bill to Amend Section 15 of the Securities Act of 1934 with Respect to Activities of Brokers and Dealers who are Not Members of Registered Securities Associations; H.R. 563 a Bill to Amend the Securities Exchange Act of 1934 with Respect to Public Membership on the Municipal Securities Rulemaking Board, February 15, 1983U.S. Government Printing Office, 1983 - 361 lappuses |
Bieži izmantoti vārdi un frāzes
accounting activities additional agencies amendments audit trail authorization banks broker broker-dealers budget capital Chairman changes Commission's Committee concern conduct Congress corporations dealer developed Director disclosure requirements Division effective enforcement actions examinations Exchange Commission exemptions FCPA federal securities laws filings firms fiscal foreign official fraud funds golden parachutes Holding Company increase injunctions insider trading inspections integrated disclosure investment advisers investment companies Investment Management investor protection involved issuers issues John S.R. Shad legislation litigation Longstreth ment million NASD NYSE Office options oversight payment peer review percent personnel problems proposed proxy reduce registration statements regulation Regulation D regulatory remuneration request responsibility result RINALDO rules SEC Docket SEC's SECO SECPS Securities and Exchange Securities Exchange Act securities markets self-regulatory organization SHAD shareholders shelf registration SIPC small business staff statutory Subcommittee TAUKE tender offer Timothy E tion violations WIRTH
Populāri fragmenti
231. lappuse - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
230. lappuse - State at any designated place of hearing. (c) In case of contumacy by, or refusal to obey a subpena issued to, any person, the Commission may invoke the- aid of any court of the United States within the jurisdiction of which such investigation or proceeding is carried on, or where such person resides or carries on business, in requiring the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, and other records.
107. lappuse - USC 781), or that is required to file reports under section 15(d) of the Securities Exchange Act of 1934...
228. lappuse - ... with intent to influence him to commit or aid in committing, or to collude in, or allow, any fraud, or make opportunity for the commission of any fraud, on the United States, or to induce him to do or omit to do any act in violation of his lawful duty...
230. lappuse - Such attendance of witnesses, and the production of such documentary evidence, may be required from any place in the United States, at any designated place of hearing.
230. lappuse - ... require the production of any books, papers, or other documents which the Commission deems relevant or material to the inquiry.
231. lappuse - foreign official" means any officer or employee of a foreign government or any department, agency, or instrumentality thereof, or any person acting in an official capacity for or on behalf of any such government or department, agency, or instrumentality. Such term does not include any employee of a foreign government or any department, agency, or instrumentality thereof whose duties are essentially ministerial or clerical.
17. lappuse - ... the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Comptroller of the Currency, the Federal Home Loan Bank Board, the Federal Savings and Loan Insurance Corporation, or the National Credit Union Administration. (8) The term "National Institute of Building Sciences" means the institute established by section 809 of the Housing and Community Development Act of 1974.
227. lappuse - Every issuer which has a class of securities registered pursuant to section 12 of this title and every issuer which is required to file reports pursuant to section 15(d) of this title shall...
299. lappuse - What the standard does contemplate is a showing of a substantial likelihood that, under all the circumstances, the omitted fact would have assumed actual significance in the deliberations of the reasonable shareholder. Put another way, there must be a substantial likelihood that the disclosure of the omitted fact would have been viewed by the reasonable investor as having significantly altered the "total mix" of information made available.8* Id., 426 US at 449, 96 S.Ct.