Regulation of Over-the-counter Markets. Hearings Before a Subcommittee ... on S. 3255, H.R. 9634 ... April 11, 1938 |
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acts or practices amendment answer asso board of governors BOREN broker or dealer brokers and dealers CARROLL REECE Chairman circuit court clause Commissioner Landis Commissioner MATHEWS corporate bonds DARBY dealers in municipal deceptive EICHER Exchange Act Exchange Commission exclusively municipal dealers feel fraudulent FROTHINGHAM gentlemen going Government individual interposing Investment Bankers Association KATZ KENDALL language legislation LOTHROP WITHINGTON Maloney bill manipulative acts matter membership municipal securities national securities association national securities exchange necessary or appropriate objection over-the-counter markets penalty present law protection of investors provision question reason REECE reference registered securities association require rescission rule or regulation rules and regulations section 15 Securities Act Securities and Exchange securities business Securities Exchange Commission sell Senate committee STARKWEATHER statement Stock Exchange suggestion thing tion understand violation voluntary association WITHINGTON WOOD word willfully York York Stock Exchange
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14. lappuse - No broker or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
3. lappuse - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
29. lappuse - ... (B) has willfully violated any provision of the Securities Act of 1933, as amended, or of any rule or regulation thereunder, or has effected any transaction for any other person who, he had reason to believe, was willfully violating with respect to such transaction any provision of such Act or rule or regulation...
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...
6. lappuse - (2) after appropriate notice and opportunity for hearing, by order to suspend for a period not exceeding twelve months or to expel from a...
44. lappuse - No action shall be maintained to enforce any liability created under this section, unless brought within one year after the discovery of the facts constituting the violation and within three years after such violation.
5. lappuse - ... (3) the rules of the association provide that any broker or dealer who makes use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security...
3. lappuse - ... any partner, officer, or director, any person occupying a similar status or performing similar functions, or any person directly or indirectly controlling the broker-dealer...
4. lappuse - ... appear to the Commission to be necessary or appropriate in the public interest or for the protection of investors and to carry out the purposes of this section.
6. lappuse - Commission finds has violated any provision of this title or the rules and regulations thereunder, or has effected any transaction for any other person who, he has...