Reorganization Plan No. 1 of 1961 (SEC): Hearing Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-seventh Congress, First Session, on Reorganization Plan No. 1 of 1961, Prepared in Accordance with the Reorganization Act of 1949, as Amended, and Providing for Reorganization in the Securities and Exchange Commission. June 2, 1961U.S. Government Printing Office, 1961 - 65 lappuses |
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1.5. rezultāts no 26.
2. lappuse
... areas . Furthermore , sec- tion 15 ( b ) of the 1934 act gives the Commission power to put a broker- dealer out of business by revoking his registration . In our view the Commission should not be permitted to 2 REORGANIZATION PLAN NO ...
... areas . Furthermore , sec- tion 15 ( b ) of the 1934 act gives the Commission power to put a broker- dealer out of business by revoking his registration . In our view the Commission should not be permitted to 2 REORGANIZATION PLAN NO ...
3. lappuse
... area - there may be other areas that my colleagues would wish to speak about - the burden of requests from the industry for new financing has grown so tremendously that the SEC is unable to process them as fast as the Commission has ...
... area - there may be other areas that my colleagues would wish to speak about - the burden of requests from the industry for new financing has grown so tremendously that the SEC is unable to process them as fast as the Commission has ...
4. lappuse
... area , and I believe also in other areas , particularly in the area of policing . Of course , I would just like to add we believe that is the best way to attack this . On the other hand , this amendment to tax reorgani- zation plans ...
... area , and I believe also in other areas , particularly in the area of policing . Of course , I would just like to add we believe that is the best way to attack this . On the other hand , this amendment to tax reorgani- zation plans ...
5. lappuse
... area of the new issues , the primary markets . We are mainly concerned with the secondary markets , and we don't have ... areas that probably could be policed more carefully if there were people to do it . I think the SEC is probably ...
... area of the new issues , the primary markets . We are mainly concerned with the secondary markets , and we don't have ... areas that probably could be policed more carefully if there were people to do it . I think the SEC is probably ...
6. lappuse
... areas in which you feel the industry and the investor might properly take care of the increased cost mutually . Your answer may be that there are none . You are a perfectly free agent . We wonder , if we go the other route , increasing ...
... areas in which you feel the industry and the investor might properly take care of the increased cost mutually . Your answer may be that there are none . You are a perfectly free agent . We wonder , if we go the other route , increasing ...
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accordance adjudicatory Administrative Procedure Act agency action agency hearing agency members amended applications appointed April 27 areas authority to delegate Banking and Currency believe Besse Boston Stock Exchange broker-dealer CARY Chairman Commis Committee on Government Congress court Dean Landis delegated action determined employee board Exchange Commission Federal Communications Commission fees filed Frear full Commission functions FUNSTON Government Operations hearing examiner initial decision interest Investment Company Act issue judicial review Keith Funston legislation major matters mission officers party permit person personnel practice President problems proceeding proposing public offering providing for reorganization question registration statements regulatory agencies Reorganization Act reorganization plan request respect responsibility right of review right to petition ROSENBERRY routine rule rulemaking power Securities Act Securities and Exchange Securities Exchange Act Senator JAVITS Senator WILLIAMS staff Stock Exchange subcommittee Thank thereof tion U.S. Senate Washington Woodside York Stock Exchange
Populāri fragmenti
63. lappuse - No commissioner shall engage in any other business, vocation, or employment than that of serving as commissioner, nor shall any commissioner participate, directly or indirectly, in any stock-market operations or transactions of a character subject to regulation by the Commission pursuant to this title.
57. lappuse - ... agency and includes the approval or prescription for the future of rates, wages, corporate or financial structures or reorganizations thereof, prices, facilities, appliances, services or allowances therefor or of valuations, costs, or accounting, or practices bearing on any of the foregoing; (5) "rule making...
62. lappuse - The form of proceeding for judicial review is the special statutory review proceeding relevant to the subject matter in a court specified by statute or, in the absence or inadequacy thereof, any applicable form of legal action, including actions for declaratory judgments or writs of prohibitory or mandatory injunction or habeas corpus, in a court of competent jurisdiction.
57. lappuse - Order' means the whole or any part of the final disposition (whether affirmative, negative, injunctive, or declaratory in form) of any agency in any matter other than rule making but including licensing. 'Adjudication' means agency process for the formulation of an order.
59. lappuse - ... responsible to or subject to the supervision or direction of any officer, employee, or agent engaged in the performance of investigative or prosecuting functions for any agency.
57. lappuse - Columbia; or except as to the requirements of section 552 of this title. (E) agencies composed of representatives of the parties or of representatives of organizations of the parties to the disputes determined by them...
58. lappuse - States; or (2) a matter relating to agency management or personnel or to public property, loans, grants, benefits, or contracts. (b) General notice of proposed rule making shall be published in the Federal Register, unless persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law.
58. lappuse - The notice shall include (1) a statement of the time, place, and nature of public rule making proceedings ; (2) reference to the legal authority under which the rule is proposed; and (3) either the terms or substance of the proposed rule or a description of the subjects and issues involved.
60. lappuse - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
62. lappuse - Agency action made reviewable by statute and final agency action for which there is no other adequate remedy in a court are subject to judicial review.