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 1759
... letter dated April 16 , 1973 , from SEC Chairman Cook to Chairman Staggers on considerations involved in requests for access to Commission files . Treasury Department , on title IV of H.R. 5050 .. 117 124 Statement of— Arachtingi , M ...
... letter dated April 16 , 1973 , from SEC Chairman Cook to Chairman Staggers on considerations involved in requests for access to Commission files . Treasury Department , on title IV of H.R. 5050 .. 117 124 Statement of— Arachtingi , M ...
Side 1762
... Letter dated October 5 , 1973 , from Robert L. Bevan , assistant Federal legislative counsel , providing details concerning per- centage of securities orders placed by bank trust departments with brokers and number under $ 100,000 or ...
... Letter dated October 5 , 1973 , from Robert L. Bevan , assistant Federal legislative counsel , providing details concerning per- centage of securities orders placed by bank trust departments with brokers and number under $ 100,000 or ...
Side 1763
... Letter dated September 7 , 1973 , from Paul Kolton , chairman , to Chairman Moss , responding to written questions of committee staff .... Memorandum commenting on titles II and III of H.R. 5050. - Exhibit A - Letter dated December 22 ...
... Letter dated September 7 , 1973 , from Paul Kolton , chairman , to Chairman Moss , responding to written questions of committee staff .... Memorandum commenting on titles II and III of H.R. 5050. - Exhibit A - Letter dated December 22 ...
Side 1764
... letter dated September 19 , 1973 , from Lawrence E. Kreider , executive vice president - economist , to Chairman Moss- Connecticut , State of : Letter dated September 7 , 1973 , from I. F. Smith , Chief Invest- ment Officer , Office of ...
... letter dated September 19 , 1973 , from Lawrence E. Kreider , executive vice president - economist , to Chairman Moss- Connecticut , State of : Letter dated September 7 , 1973 , from I. F. Smith , Chief Invest- ment Officer , Office of ...
Side 1765
... Letter dated May 22 , 1973 , from Congressman Broyhill to Congressman Talcott urging additional funds for SEC budget- Letter dated June 22 , 1973 , from Congressman Stuckey , to John C. Whitehead , chairman , Securities Industry ...
... Letter dated May 22 , 1973 , from Congressman Broyhill to Congressman Talcott urging additional funds for SEC budget- Letter dated June 22 , 1973 , from Congressman Stuckey , to John C. Whitehead , chairman , Securities Industry ...
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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
Populære avsnitt
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...