Investor Protection: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, First[- Second] Session, on H.R. 6789, H.R. 6793, S. 1642, Bills to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securites, to Provide for Improved Qualification and Disciplinary Procedures for Registered Brokers and Dealers, and for Other Purposes, 1-2. daļasU.S. Government Printing Office, 1964 - 1418 lappuses |
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87th Congress activities additional amended American Stock Exchange appropriate approval assets authority basis bill Board of Governors broker or dealer broker-dealers brokers and dealers capital CARY Chairman Commission's committee Congress corporation customers directors effective employees Exchange Commission exchange's exemption filed HARRIS holders industry insider trading insurance companies intrastate investor protection issuers issues legislation listed securities listing application member firms member organizations membership ment mutual fund NASD national securities exchange NYSE officers OREN HARRIS over-the-counter companies over-the-counter market percent period problems procedures proposed protection of investors proxy statement public interest pursuant registered securities association registration statement regulation reporting requirements respect responsibility section 12 Securities Act Securities and Exchange securities business Securities Exchange Act securities markets self-regulation self-regulatory agencies Senate shareholders shares short selling solicitation specialist specific staff STAGGERS standards stockholders substantial suspended tion transactions U.S. Senate violations York Stock Exchange