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" Commission, by rule, determines is consistent with the purposes of this paragraph, the protection of investors, and the maintenance of fair and orderly markets. "
Managed Accounts/section 11(a): Hearing Before the Subcommittee on ... - 28. lappuse
autors: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1991 - 76 lapas
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United States Code, 1. sējums;3. sējums

United States - 1994 - 1332 lapas
...prescribed with respect to the requirements of clauses (i) and (ii); and (I) any other transaction [See main edition for text of (.2) and (3); (6) to MM (As amended Aug. 11, 1993. Pub. L. 103-68, §...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1998 - 900 lapas
...to the matter reviewed as the Commission deems necessary or appropriate in the public interest, for the protection of investors, and the maintenance of fair and orderly markets, or to remove impediments to, and perfect the mechanisms of, a national market system. (f) Exemptions....
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Code of Federal Regulations: Containing a Codification of Documents of ...

1990 - 1038 lapas
...to the matter reviewed as the Commission deems necessary or appropriate in the public interest, for the protection of investors, and the maintenance of fair and orderly markets, or to remove impediments to, and perfect the mechanisms of, a national market system. (f) Exemptions....
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1976 - 476 lapas
...persons who are not members or associated with members of the exchange ; and "(II) any other transaction of a kind which the Commission, by rule, determines...investors, and the maintenance of fair and orderly markets. "(2) The Commission, by rule, as it deems necessary or appropriate in the public interest and for the...
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National Securities Market System Act of 1973: Hearings, Ninety-third ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1973 - 772 lapas
...subject to such limitations as the Commission ma/, by rule, impose as necessary or appropriate for the protection of investors and the maintenance of fair and orderly markets, to all investors; (2) to specify the form and content of information with respect to ([notations and...
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SEC Docket: A Weekly Compilation of Releases from the Securities ..., 5. sējums

United States. Securities and Exchange Commission - 1992 - 1098 lapas
...portfolios from long-term market risk, thereby facilitating transactions in options and contributing to the protection of investors and the maintenance of fair and orderly markets. Currently, investors use index options to, among other things, hedge the risks associated with holding...
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Securities Acts Amendments of 1975: Hearings Before the Subcommittee on ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1975 - 790 lapas
...SEC has such authority, the bill would grant the SEC, in addition to broad general powers related to the protection of investors and the maintenance of fair and orderly markets, three powei-s designed specifically to deal with problems which may be caused by full}" competitive...
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1981 - 548 lapas
..."(H) any other transaction of a kind which the Commission, by rule, determines is consistent witli the purposes of this paragraph, the protection of...investors, and the maintenance of fair and orderly markets. "(2) The Commission, by rule, as it deems necessary or appropriate in the public interest and for the...
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The Competition Improvements Act of 1975: Hearings Before the Subcommittee ...

United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Antitrust and Monopoly - 1976 - 1110 lapas
...some period subsequent to May 1, 1975, in order to assure that the objectives of the Act, including the protection of investors and the maintenance of fair and orderly markets, are upheld during any transitional phase. I/ Furthermore, the Congress has required the Commission...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States, United States. Congress. House. Committee on Interstate and Foreign Commerce - 1978 - 540 lapas
...persons who are not members or associated with members of the exchange ; and (H) any other transaction of a kind which the Commission, by rule, determines...investors, and the maintenance of fair and orderly markets. (2) The Commission, by rule, as it deems necessary or appropriate in the public interest and for the...
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