 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1971 - 1866 lapas
...Francisco Stock Exchange, Id;:mat p. GS3S, March 5, 1934. "Section 8(b) provides: "It shall be uhlnwful for any member of a national securities exchange, or any broker or dealer who transacts a business in securities through the medium of any such member, directly or indirectly... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1972 - 1222 lapas
...provision prohibiting a member of an Exchange from acting in any way as a dealer in securities : "SEC. 10. It shall be unlawful for any member of a national securities exchange ... to act as a dealer or underwriter of securities, whether or not registered on any national securities... | |
 | United States. Congress. House. Committee on Banking, Currency, and Housing - 1976 - 1276 lapas
...Securities Acts Amendments of 1975 amended Section 11 (a) (1) of the Securities Exchange Act to provide that it shall be unlawful for any member of a national securities exchange to effect any transactions on such exchange "for its own account, the account of an associated person,... | |
 | United States - 1981 - 548 lapas
...USC 78h) is amended as follows : (1) The first sentence thereof is amended by striking out the phrase "any member of a national securities exchange, or any broker or dealer who transacts a business in securities through the medium of any such member" and by inserting in lieu... | |
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It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member... 
