Securities Markets Investigation: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-seventh Congress, First Session on H. J. Res. 438
U.S. Government Printing Office, 1961 - 178 lappuses
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action activity American Stock Exchange amount association authority believe board of governors broker capital Cary Chairman charged CLAFLIN Commission committee common concerning Congress continuing Corp corporation correct course deal dealer determine DINGELL director effect examination fact filed firm floor funds FUNSTON give HEMPHILL House increase indicate industry interest investment adviser investment company investors involved issues Joint listed Loomis Mack matter McCORMICK mutual funds offering operations organization over-the-counter particular percent person position practices present principal problem protection purchase question reason recent record referred registered regulations relating representatives requirements resolution respect rules Securities and Exchange sell shares specialist statement Stock Exchange thing tion trading transactions violation York Stock Exchange
4. lappuse - Act of 1934 is amended by adding at the end thereof a new subsection as follows : "(d) The Commission is authorized and directed to make a study and investigation of the adequacy, for the protection of investors, of the rules of national securities exchanges and national securities associations...
7. lappuse - Act of 1923, as amended, an executive secretary, and such attorneys, examiners, and regional directors, and shall appoint such other employees with regard to existing laws applicable to the employment and compensation of officers and employees of the United States...
71. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
27. lappuse - Include the name of each person whose Interest In any transaction Is described and the nature of the relationship by reason of which such Interest Is required to be described. Where It is not practicable to state the approximate amount of the Interest, the approximate amount Involved in the transaction shall be indicated.
1. lappuse - September 5, 1961, amended section 19 of the 1934 act so as to authorize and direct the Securities and Exchange Commission to conduct a study and investigation of the adequacy, for the protection of the investors, of the rules of national securities exchanges and national securities associations.
150. lappuse - ... checks, money orders, or similar instruments, any broker or dealer in securities registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934...
1. lappuse - ... a study and investigation of the rules of national securities exchanges with respect to the classification of members, the methods of election of officers and committees to insure a fair representation of the membership, and the suspension, expulsion, and disciplining of members of such exchanges. The Commission shall report to the Congress on or before January 3, 1935, the results of its investigation, together with its recommendations. LIABILITIES OF CONTROLLING PERSONS SEC. 20. (a) Every person...
25. lappuse - ... it is not practicable to state the approximate amount of the interest, the approximate amount involved in the transaction shall be indicated. 2. As to any transaction involving the purchase or sale of assets by or to the bank or any subsidiary. otherwise than in the ordinary course of business, state the cost of the assets to the purchaser and the cost thereof to the seller if acquired by the seller within two years prior to the transaction.
74. lappuse - The rules of a registered securities association may provide that no member thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions or fees, and on the same terms and conditions as are by such member accorded to the general public.