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" ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to... "
Study of the Securities Industry: Hearings Before the Subcommittee on ... - 1418. lappuse
autors: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 4623 lapas
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The Code of Federal Regulations of the United States of America

1971 - 668 lapas
...(2) of section 15A of the Act, including the requirement that rules of such an association shall be designed to promote just and equitable principles...between customers or issuers, or brokers or dealers; to produce fair and informative quotations, both at the wholesale and retail level, to prevent fictitious...
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The Code of Federal Regulations of the United States of America

1972 - 692 lapas
...(2) of section 15A of the Act, including the requirement that rules of such an association shall be designed to promote Just and equitable principles...between customers or issuers, or brokers or dealers; to produce fair and informative quotations, both at the wholesale and retail level, to prevent fictitious...
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The Code of Federal Regulations of the United States of America

1973 - 746 lapas
...(8) of section ISA of the Act, including the requirement that rules of such an association shall be designed to promote just and equitable principles...of a free and open market, and not to permit unfair discriminaton between customers or issuers, or brokers or dealers; and to assure that any disciplinary...
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SEC Docket, 51. sējums

United States. Securities and Exchange Commission - 1992 - 866 lapas
...that the rules of the Exchange be designed to prevent fraudulent and manipulative acts and practices, / <m J D [ S O " ,Y 2 vgR xΡEZ7B-' U g¤ y֣x А > 7 ҷ R> z( j c &a mechaB. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe...
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Laws Relating to Securities Commission, Exchanges and Holding Companies ...

United States - 1973 - 402 lapas
...of commissions or other charges, and in general, to protect investors and the public interest, and to remove impediments to and perfect the mechanism of a free and open market." (c) Section 15(c) of said Act is amended by adding at the end 52 stat. 1075. thereof the following...
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SEC Docket, 47. sējums

United States. Securities and Exchange Commission - 1990 - 918 lapas
...rules of the Exchange are to be designed to prevent fraudulent and manipulative acts and practices and to remove impediments to and perfect the mechanism of a free and open market. B. Self-Regulatory Organization's Statement on Burden on Competition The PHLX does not believe that...
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Hearings, Reports and Prints of the Senate Committee on Appropriations

United States. Congress. Senate. Committee on Appropriations - 1966 - 1408 lapas
...rates of commission or other charges, and in general to protect investors and the public interest and to remove impediments to and perfect the mechanism of a free and open market. The 1904 amendments require such nonmember broker-dealers to pay to the Commission fees which are designed...
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SEC Docket: A Weekly Compilation of Releases from the Securities and ...

United States. Securities and Exchange Commission - 1991
...consistent with the requirement in Section 6(b)(5) that the rules of an exchange should be designed to remove impediments to and perfect the mechanism of a free and open market.i2 Accordingly, the Commission believes that it is appropriate to approve the proposed rule...
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SEC Docket, 42. sējums

United States. Securities and Exchange Commission - 1988 - 814 lapas
...orders to reach the specialist for execution. This should facilitate transactions in securities and help remove impediments to and perfect the mechanism of a free and open market. The Commission also believes that the Exchange's use of a single list of stocks for disseminating order...
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10:Trading in Municipal Securities, Hearings Before the ..., 22-23. sējumi

United States. Cngress. Senate. Banking, Housing and Urban Affairs Committee - 1974 - 550 lapas
...burdens on competition not necessary or appropriate in furtherance of the purposes of this title, or to remove impediments to and perfect the mechanism of a free and open narket, may, by rule, abrogate, alter, or supplement the rules of the Board in thé following manner:...
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