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. 438U.S. Government Printing Office, 1961 - 178 lappuses Considers legislation to authorize SEC to investigate effectiveness of securities industry self-regulation, including operations of stock exchanges and the National Association of Securities Dealers. |
No grāmatas satura
1.–5. rezultāts no 28.
6. lappuse
... authority of the Com- mission . As this committee knows , the Commission recently announced that it was investigating the rules , policies , a nd procedures of the American Stock Exchange relating to the conduct of specialists and other ...
... authority of the Com- mission . As this committee knows , the Commission recently announced that it was investigating the rules , policies , a nd procedures of the American Stock Exchange relating to the conduct of specialists and other ...
11. lappuse
... authority of the Commission . At this time , however , and pursuant to that policy , there is pending , as you know , an investigation of the rules , policies , and procedures of the American stock exchange relating to the conduct of ...
... authority of the Commission . At this time , however , and pursuant to that policy , there is pending , as you know , an investigation of the rules , policies , and procedures of the American stock exchange relating to the conduct of ...
13. lappuse
... authority of the Commission to investigate the securities market operations within that organization . I was wondering if you can tell us whether this will include authority to the Commission to make a study of mutual funds , management ...
... authority of the Commission to investigate the securities market operations within that organization . I was wondering if you can tell us whether this will include authority to the Commission to make a study of mutual funds , management ...
14. lappuse
... authority to go into the Invest- ment Company Act ? Mr. COHEN . We have that authority under the Investment Com- pany Act , sir . Mr. DINGELL . I am concerned , because as I read the financial pages , there are billions of dollars in ...
... authority to go into the Invest- ment Company Act ? Mr. COHEN . We have that authority under the Investment Com- pany Act , sir . Mr. DINGELL . I am concerned , because as I read the financial pages , there are billions of dollars in ...
15. lappuse
... authority within the Commission at this time to scrutinize the amount of fees and commissions paid to investment advisers of these managed funds and mutual funds ? Mr. CARY . Mr. Chairman , this is a problem that is quite clearly before ...
... authority within the Commission at this time to scrutinize the amount of fees and commissions paid to investment advisers of these managed funds and mutual funds ? Mr. CARY . Mr. Chairman , this is a problem that is quite clearly before ...
Bieži izmantoti vārdi un frāzes
activity American Stock Exchange amount Association of Securities board of governors British American Tobacco broker broker-dealers Canadian Javelin capital CARY Chairman CLAFLIN COHEN common common)¹ concerning Congress Corp corporation correct CURTIN DINGELL director disciplinary action disclosure enforcement Exchange Commission fact filed firm floor committee FUNSTON Gerard F GLENN HEMPHILL House Joint Resolution industry interest investigation investment adviser investment company investors issues Joint Resolution 438 KEITH listed LOOMIS MACK manipulation matter McCORMICK MOONEY mutual funds NASD national securities exchange odd-lot operations over-the-counter market partner percent person principal underwriter problem purchase question referred registered regulations REILLY respect rules Securities and Exchange Securities Dealers Securities Exchange Act securities markets sell shares specialist statement stockholders subcommittee tion trading transactions unlisted violation Wall Street Journal York Stock Exchange
Populāri fragmenti
2. 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...
5. 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...
69. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
25. 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.
148. 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...
23. 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.
72. 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.
173. lappuse - The supplying of all or substantially all the stock bid for on the book at a price equal to the last sale, when the stock so bid for represents all or substantially all the stock bid for in the market. "Transactions...