Regulation of Over-the -counter Markets, Hearings Before ..., 75-3 on S. 3255 ..., February 1, 2, 8, and 9, 1938

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79. lappuse - Carry out the purposes of this section — "(1) after appropriate notice and opportunity for hearing, by order to suspend for a period not exceeding twelve months or to revoke the registration of a registered securities association, if the Commission finds that such association has violated any provision of this title or the rules and regulations thereunder...
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3. lappuse - ... (6) the rules of the association provide for the equitable allocation of dues among its members, to defray reasonable expenses of administration; (7) the rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest...

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