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" It is in the public interest and appropriate for the protection of investors and the maintenance of fair and orderly markets... "
Managed Accounts/section 11(a): Hearing Before the Subcommittee on ... - 8. 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
...information available to investors and regulators; (2) it is in the public interest and appropriate for X F 1a% q L 0XX Bv y6 J 4*0 W I s? x Y ? :N = yG& to improve significantly the information available to brokers, dealers, investors, and regulators with...
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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
...from any such prohibition if the Commission deems such exemption consistent with the public interest, the protection of investors, and the maintenance of fair and orderly markets. "(]{) For the purposes of subparagraph (A) of this paragraph, the ability of a dealer to solicit or...
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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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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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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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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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Securities Acts Amendments of 1975, Oversight: Hearings Before the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Oversight and Investigations - 1978 - 1216 lapas
...that any other transaction of a kind which the Commission y rule determines is consistent with the purposes of the section, the protection of investors, and the maintenance of fair and orderly markets. In addition, in section ll(aX2) the Commission is given supplementary rulemaking power to assure equal...
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Securities and Exchange Commission--authorization: Hearings Before the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance - 1978 - 198 lapas
...Commission does have authority under section 11 (a) to grant "additional exemptions consistent with the purposes of the section, the protection of investors,...and the maintenance of fair and orderly markets." And in fact, the Commission has published for comment proposed rule lla2-2 under section 11 (a) which...
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