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 1764
... recommendations-- 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel , to Chairman Moss , discussing percentage of trades of $ 300,000 or over handled by investment firms among the first 10 percent in size .. 1672 ...
... recommendations-- 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel , to Chairman Moss , discussing percentage of trades of $ 300,000 or over handled by investment firms among the first 10 percent in size .. 1672 ...
Side 1766
... recommendations of Subcommittee on Insurance and Protection - Report and recommendations concerning a financial industry number system ( FINS ) . Statement before the Subcommittee on Securities , Senate Com- mittee on Banking , Housing ...
... recommendations of Subcommittee on Insurance and Protection - Report and recommendations concerning a financial industry number system ( FINS ) . Statement before the Subcommittee on Securities , Senate Com- mittee on Banking , Housing ...
Side 1767
... Recommendations regarding foreign access to the U.S. se- curities markets ... 1102 1349 1110 1049 1084 The Urgent Need for a Securities Commission Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange ...
... Recommendations regarding foreign access to the U.S. se- curities markets ... 1102 1349 1110 1049 1084 The Urgent Need for a Securities Commission Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange ...
Side 1782
... recommendation in the Senate also they did not accept our suggestion . We would like to make the recommendation here also that the securities depository or clearing agency be the one to accept the comments . We believe the Commission ...
... recommendation in the Senate also they did not accept our suggestion . We would like to make the recommendation here also that the securities depository or clearing agency be the one to accept the comments . We believe the Commission ...
Side 1792
... recommendation for conformity is limited to the applicable standards for judging confidential treatment and not to the types of information as to which the standards would apply . Thus , under the Securities Act , confidential treat ...
... recommendation for conformity is limited to the applicable standards for judging confidential treatment and not to the types of information as to which the standards would apply . Thus , under the Securities Act , confidential treat ...
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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...