H.R. 718, Markets and Trading Reorganization and Reform Act of 1995: Hearings Before the Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises of the Committee on Banking and Financial Services, House of Representatives, One Hundred Fourth Congress, First Session, 1. daļa |
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administrative agricultural amendments Arthur Levitt authority banks bill Brady broker-dealers Business Lawyer CAPITAL MARKETS CFTC's Chairman BAKER Chicago Mercantile Exchange Commissioners Committee commodities markets Commodity Exchange Act Commodity Futures Trading Congress consolidation coordination costs disclosure Division Exchange Act Exchange Commission exempt Federal Financial FFRS financial markets financial regulation financial regulatory financial services firms functions funds futures and options futures contracts futures exchanges futures markets Futures Trading Commission GOVERNMENT SPONSORED ENTERPRISES innovation Investment Company investors issues jurisdiction Leach legislation Levitt margin market participants Markets and Trading merged agency merger merging the SEC NYMEX OTC derivatives over-the-counter over-the-counter derivatives oversight proposed registered regulatory agencies regulatory competition regulatory structure regulatory system requirements responsibility risk-shifting rules Sandner Schapiro SEC and CFTC SEC's Section securities and commodities Securities and Exchange securities exchanges securities markets staff stock index futures swaps systemic risk Thank transactions Treasury
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139. 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.
190. lappuse - Nothing in this Act shall be deemed to govern or in any way be applicable to transactions in foreign ity currency, security warrants, security rights, resales of installment loan contracts, repurchase options, government securities, or mortgages and mortgage purchase commitments, unless such transactions involve the sale thereof for future delivery conducted on a board of trade.
47. lappuse - The subcommittee met, pursuant to notice, at 10:00 am, in room 2128, Rayburn House Office Building, Hon. Richard Baker [chairman of the subcommittee] presiding. Present: Chairman Baker, Representatives Cremeans, Fox, LoBiondo, Kelly, Bachus, Kanjorski, Bentsen, LaFalce, and Waters.
1. lappuse - The subcommittee met, pursuant to call, at 10:07 am, in room 2128, Rayburn House Office Building, Hon. Richard H. Baker, [chairman of the subcommittee], presiding. Present: Chairman Baker; Representatives Ryan, Sweeney, Biggert, Terry, Royce, Kanjorski, Bentsen, C.
347. lappuse - ... (2) a summary of the nature of any such rule under consideration for each subject area listed in the agenda pursuant to paragraph (1), the objectives and legal basis for the issuance of the rule, and an approximate schedule for completing action on any rule for which the agency has issued a general notice of proposed rule-making, and (3) the name and telephone number of an agency official knowledgeable concerning the items listed in paragraph (1).
354. lappuse - SEC. 9. (a) It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory board, investment adviser, or depositor of any registered investment company, or principal underwriter for any registered open-end company, registered unit investment trust, or registered face-amount certificate company...
143. lappuse - Board is authorized to appoint and fix the compensation of such officers and employees, and to make such expenditures, as may be necessary for carrying out its functions under this Act. Appointments of attorneys and experts may be made without regard to the civil-service laws.
151. lappuse - If any provision of this Act or the application of such provision to any person or circumstance is held invalid, the remainder of the Act shall not be affected thereby.
292. lappuse - ... that the regulators and the Administration can be held accountable for the success or failure of their policies. • Should be organized along modified functional lines so that financial products, services and markets delivering similar benefits and risks can be subjected to equivalent regulation and so that economic competition, rather than jurisdictional barriers or differences in supervision, can determine which products, services and markets succeed in the marketplace. • Should be structured...
334. lappuse - Agriculture, upon his own initiative or in cooperation with existing governmental agencies, shall investigate marketing conditions of commodities and commodity products and byproducts, including supply and demand for these commodities, cost to the consumer, and handling and transportation charges. He shall likewise compile and furnish to producers, consumers, and distributors, by means of regular or special reports, or by such methods as...