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" Securities Exchange Act of 1934." NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE SEC. 2. For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with... "
Decisions and Reports - 293. lappuse
autors: United States. Securities and Exchange Commission - 1944
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Study of the Securities Industry: Hearings, Ninety-second Congress, First ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 348 lapas
..."transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest which...transactions and of practices and matters related thereto ... to [inter alia,] insure the maintenance of fair and honest markets. . . ." The rules of exchanges...
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Fixed Rates and Institutional Membership, Hearings Before the Subcommittee ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1973 - 620 lapas
...ran«actinn<! in securities as commonly conducted on securities exchanges and over-the-counter markets are affected with a national public interest which...regulation and control of such transactions and of matters related thereto, including transactions by officers, directors, and principal security holders...
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Regulation of Clearing Agencies and Transfer Agents, Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1973 - 660 lapas
...Exchange Act of 1934 (15 USC 78b) is amended by striking the word "and" immediately before the phrase "to impose requirements necessary to make such regulation and control reasonably complete and effective," and by adding the following immediately after that phrase: "and to provide for the development of an...
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Corporate Disclosure: Hearings Before the Subcommittee on Budgeting ...

United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures - 1974 - 572 lapas
...regulation and control of transactions by principal security holders, and to require appropriate reports, and to impose requirements necessary to make such...control reasonably complete and effective in order to insure the maintenance of fair and honest securities markets. In light of these broad mandates and...
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Corporate Disclosure: Hearings Before the Subcommittee on ..., 1-2. daļas

United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures, United States. Congress. Senate. Government Operations Committee - 1974 - 2248 lapas
...regulation and control of transactions by principal security holder*, and to require appropriate reports, and to impose requirements necessary to make such...control reasonably complete and effective in order t» insure the maintenance of fair and honest securities markets. In light <'f rl,. --,-• broad mandates...
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Corporate Disclosure: Hearings Before the Subcommittee on ..., 1-2. daļas

United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures, United States. Congress. Senate. Government Operations Committee - 1974 - 2248 lapas
...regulation and control of transactions by principal security holder*, and to require appropriate reports, and to impose requirements necessary to make such...control reasonably complete and effective in order t» insure the maintenance of fair and honest securities markets. In light <'f rl,.--,-• broad mandates...
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Trading in Municipal Securities: Hearings Before the Subcommittee on ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1974 - 440 lapas
...that transactions in securities both upon securities exchanges and in the over-the-counter markets are affected with a national public interest which makes it necessary to provide regulation and control of such transactions and practices. The Commission has a duty to develop and...
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United States Reports: Cases Adjudged in the ..., 414. sējums;429. sējums

United States. Supreme Court - 1975 - 1308 lapas
..."transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest which...transactions and of practices and matters related thereto." Securities Exchange Act of 1934, § 2, 15 USC § 78b. Self-regulation was adopted as a means of policing...
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Securities Activities of Commercial Banks, Hearings Before ..., 22-23. sējumi

1975 - 472 lapas
..."transactions in securities as commonly conducted upon securities exchanges and overthe-counter markets are affected with a national public interest which...transactions and of practices and matters related thereto . . . . " Congress created the Commission to provide this regulation and foster effective protection...
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Brokerage and Related Commercial Bank Services: Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1976 - 1168 lapas
...transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest which...transactions and of practices and matters related thereto, ... to insure the maintenance of fair and honest markets in such transactions. TV Business Heck estimates...
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