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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Side 1760
... Investment Counsel Association of America , Inc .. Celler , Hon . Emanuel , former Chairman , Committee on the Judiciary , U.S. House of Representatives___ Chalmers , Jay L. , chairman , operations committee , Securities Industry ...
... Investment Counsel Association of America , Inc .. Celler , Hon . Emanuel , former Chairman , Committee on the Judiciary , U.S. House of Representatives___ Chalmers , Jay L. , chairman , operations committee , Securities Industry ...
Side 1761
... Investment Clubs .. O'Neill , James J. , executive director , the Committee of Publicly Owned Companies .. Owens , Hugh F. , senior Commissioner , Securities and Exchange Commission .. 867 1686 1599 297 , 401 Payne , William E ...
... Investment Clubs .. O'Neill , James J. , executive director , the Committee of Publicly Owned Companies .. Owens , Hugh F. , senior Commissioner , Securities and Exchange Commission .. 867 1686 1599 297 , 401 Payne , William E ...
Side 1762
... Investment Brokers .. 619 651 1355 Wood , C. V. , Jr. , chairman , the Committee of Publicly Owned Com- panies 1599 ... investments and underwritings . 728 Letter dated July 13 , 1973 , from Walter D. Vinyard , Jr. , counsel , to ...
... Investment Brokers .. 619 651 1355 Wood , C. V. , Jr. , chairman , the Committee of Publicly Owned Com- panies 1599 ... investments and underwritings . 728 Letter dated July 13 , 1973 , from Walter D. Vinyard , Jr. , counsel , to ...
Side 1763
... Investment Brokers , letter dated August 7 , 1973 , from Merrill J. Chapman , president , to Chairman Moss , with ... investment imposed by State__ 1716 Letter dated September 18 , 1973 , from Melvin W. Petersen , Chief of Investments ...
... Investment Brokers , letter dated August 7 , 1973 , from Merrill J. Chapman , president , to Chairman Moss , with ... investment imposed by State__ 1716 Letter dated September 18 , 1973 , from Melvin W. Petersen , Chief of Investments ...
Side 1764
... Invest- ment Company Act of 1940 and section 206 of the Investment Advisers Act of 1940 . 1469 1482 Municipal bonds sold at competitive sale in the State of Texas , January 1972 - June 1973__ Proposed amendment to section 19 ( b ) of ...
... Invest- ment Company Act of 1940 and section 206 of the Investment Advisers Act of 1940 . 1469 1482 Municipal bonds sold at competitive sale in the State of Texas , January 1972 - June 1973__ Proposed amendment to section 19 ( b ) of ...
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agency or securities amendments American Bankers Association American Stock Exchange appropriate regulatory agency Association bank regulatory agencies banking agencies believe BEVIS bill Board broker-dealers brokerage brokers Chairman Moss Chicago clearing agency Clearing Corporation commission rates Committee CURTIS CUSIP dealers deposit Depository Trust Company directors effect enforcement entities Exchange Commission Federal Reserve System firms functions funds settlement funds valued today funds valued tomorrow GARDINER institutions interface investment issuer issues legislation Letter dated membership mutual funds NASD National Coordinating Group negotiated rates numbering system operations participants problems proposed Section 17A public interest record registered regulation require responsibility rulemaking rules Securities and Exchange Securities Exchange Act securities industry securities processing securities transactions settlement of securities shareholder shares standards statement stock certificate stock transfer Subsection third market tion trade Trust Company Uniform Commercial Code vice president York Stock Exchange YOUNG
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Side 1908 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken...
Side 1977 - 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...
Side 1977 - System shall, prior to the effective date of this section and from time to time thereafter, prescribe rules and regulations with respect to the amount of credit that may be initially extended and subsequently maintained on any security...
Side 1908 - ... recommendation, if any, for the modification or setting aside of the original order. The judgment and decree of the court affirming...
Side 1897 - Federal savings and loan associations, and it may insure the accounts of building and loan, savings and loan, and homestead associations and cooperative banks organized and operated according to the laws of the State, District, or Territory in which they are chartered or organized.
Side 1908 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless; there were reasonable grounds for failure so to do.
Side 1904 - Commission, on its own motion, or upon application by any person aggrieved thereby filed within thirty days after such action has been taken or within such longer period as the Commission may determine. Application to the Commission for review, or the institution of review by the Commission on its own motion, shall...
Side 1908 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Side 1897 - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
Side 1908 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence in the...