Securities Exchange Act Amendments of 1973: Hearings, Ninety-third Congress, First Session, on H.R. 5050 and H.R. 340...U.S. Government Printing Office, 1974 |
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Administrative Procedure Act adopted affiliated person amendment American Insurance Association American Stock Exchange Amex antitrust appropriate authority banks believe bill broker-dealers central market system Chairman Moss commission rates Commission's committee companies competitive concern Congress corporation counsel CURTIS customers ECKHARDT effect enforce enrichment Exchange Commission exchange members exchange rules exchange's execution fixed rates Government institutional membership investment KOLTON legislation LOOMIS market makers MCCOLLISTER member firms ment mutual funds NASD NASDAQ national securities association national securities exchanges negotiated rates NYSE percent present problems procedures prohibition proposed Section provisions public governors public interest question registered regulation regulatory Representative HOSMER require responsibility rulemaking Section 15A Section 202 Section 6(b Securities and Exchange Securities Exchange Act securities industry securities markets self-regulation self-regulatory small business small investor specific statement STUCKEY Subcommittee suggest tion trading transactions vice president York Stock Exchange
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Halaman 760 - Investment adviser" of an investment company means (A) any person (other than a bona fide officer, director, trustee, member of an advisory board, or employee of such company, as such) who pursuant to contract with such company regularly furnishes advice to such company with respect to the desirability of investing in, purchasing or selling securities or other property...
Halaman 466 - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Halaman 570 - ... as may be necessary for the execution of the functions vested...
Halaman 447 - ... 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...
Halaman 759 - It shall be unlawful for a member of a national securities exchange who is both a dealer and a broker, or for any person who both as a broker and a dealer transacts a business in securities through the medium of a member or otherwise, to effect through the use of any facility of a national securities exchange or of the mails or of any means or instrumentality of interstate...
Halaman 742 - ... (b) It shall be unlawful for any person, directly or indirectly, to do any act or thing which it would be unlawful for such person to do under the provisions of this title or any rule or regulation thereunder through or by means of any other person.
Halaman 472 - No broker or dealer shall make 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 (other than commercial paper, bankers...
Halaman 472 - ... shall make, keep, and preserve for such periods, such accounts, correspondence, memorandums, papers, books, and other records, and make such reports, as the Commission by its rules and regulations may prescribe as necessary or appropriate in the public interest or for the protection of investors.
Halaman 589 - The remedies provided for in this section shall be in addition to, and not in lieu of, any other remedies provided by law.
Halaman 532 - Commission determines that such exchange has not made the changes so requested, and that such changes are necessary or appropriate for the protection of investors or to insure fair dealing in securities traded in upon such exchange or to insure fair administration of such exchange...