Securities Industry Study: ReportU.S. Government Printing Office, 1973 - 240 sider |
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Side v
... Operation of SIPC .. ii . Unsafe and Unsound Practices Report ... . iii . Regulatory Improvements ... f . Subcommittee's Analysis . g . Subcommittee's Recommendations_ 2. Processing of Securities Transfers .... B. Commission Rates___ 1 ...
... Operation of SIPC .. ii . Unsafe and Unsound Practices Report ... . iii . Regulatory Improvements ... f . Subcommittee's Analysis . g . Subcommittee's Recommendations_ 2. Processing of Securities Transfers .... B. Commission Rates___ 1 ...
Side vi
... Self - Regulatory Concept in the Exchange Act _ . 137 a . The Stock Exchanges- 137 b . National Securities Associations . 143 2. Evaluation of Self - Regulation_ . 145 Page Agencies B. The Operations of the Self - Regulatory VI.
... Self - Regulatory Concept in the Exchange Act _ . 137 a . The Stock Exchanges- 137 b . National Securities Associations . 143 2. Evaluation of Self - Regulation_ . 145 Page Agencies B. The Operations of the Self - Regulatory VI.
Side vii
... Operations of the Self - Regulatory Agencies . 1. Procedural Standards for Self - Regulatory Action ... a . Actions Directed Against Particular Persons .. i . Disciplinary Actions .. ii . Denial of Membership . iii . Actions Affecting ...
... Operations of the Self - Regulatory Agencies . 1. Procedural Standards for Self - Regulatory Action ... a . Actions Directed Against Particular Persons .. i . Disciplinary Actions .. ii . Denial of Membership . iii . Actions Affecting ...
Side 1
... operation of the regulatory system in the securities industry , focusing on the decisions involved in ( 1 ) the inclusion of listed stocks in the NASDAQ quotation system , ( 2 ) the sale of life insurance by stock exchange firms , ( 3 ) ...
... operation of the regulatory system in the securities industry , focusing on the decisions involved in ( 1 ) the inclusion of listed stocks in the NASDAQ quotation system , ( 2 ) the sale of life insurance by stock exchange firms , ( 3 ) ...
Side 2
... operation of the markets and on the industry's compensation structure . And development of new technology and com- munication systems , while offering the promise of a more efficient , better coordinated marketplace , has produced ...
... operation of the markets and on the industry's compensation structure . And development of new technology and com- munication systems , while offering the promise of a more efficient , better coordinated marketplace , has produced ...
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Vanlige uttrykk og setninger
2d Sess 92d Cong activities adopted affiliates amended American Stock Exchange AMEX antitrust laws appropriate authority broker-dealers brokerage brokers and dealers capital rule central market system Chairman Commission Rate Hearings Commission's Congress courts customers decisions disciplinary effect eliminate enforce exchange members exchange rules Exchange's filed financial responsibility funds hereinafter cited House Hearings Institutional Investor Study investment issues judicial review jurisdiction legislation Letter listed securities managed accounts market makers market-makers member firms ment money management NASD NASDAQ national securities exchanges non-members NYSE members NYSE Rule NYSE's oversight problems procedures prohibited public interest public investors recommendations regional exchanges regulation regulatory Report rule changes SEC's Securities Exchange Act Securities Markets self-regulation self-regulatory action self-regulatory agencies self-regulatory bodies self-regulatory organizations self-regulatory rules SIPC Special Study specialist structure Study Hearings Subcomm Subcommittee believes supra note Testimony third market tion transactions William McChesney Martin York Stock Exchange
Populære avsnitt
Side 209 - 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...
Side 209 - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia...
Side 209 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission. The finding of the Commission as to the facts, if supported by substantial evidence, shall be conclusive.
Side 213 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Side 219 - After notice required by this section, the agency shall give interested persons an opportunity to participate in the rule making through submission of written data, views, or arguments with or without opportunity for oral presentation. After consideration of the relevant matter presented, the agency shall incorporate in the rules adopted a concise general statement of their basis and purpose.
Side iii - Judiciary, or any duly authorized subcommittee thereof, is authorized under sections 134 (a) and 136 of the Legislative Reorganization Act of 1946, as amended, and in accordance with its jurisdictions specified by rule XXV of the Standing Rules of the Senate, to examine, investigate, and make a complete study of any and all matters pertaining...
Side 209 - 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, and it shall file such modified or new findings, which, if supported by evidence, shall be conclusive...
Side 228 - If any provision of this section is in conflict with any provision of any law of the United States in force on the date this section takes effect, the provision of this section shall prevail.
Side 144 - President, summarily to suspend all trading on any national securities exchange for a period not exceeding ninety days. (b) The Commission is further authorized, if after making appropriate request in writing to a national securities exchange that such exchange effect on its own behalf specified changes in its rules and practices, and after appropriate notice and opportunity for hearing, the Commission determines that such exchange has not made the changes so requested, and that such changes are...
Side 144 - ... (8) the reporting of transactions on the exchange and upon tickers maintained by or with the consent of the exchange, including the method of reporting short sales, stopped sales, sales of securities of issuers in default, bankruptcy or receivership, and sales involving other special circumstances; (9) the fixing of reasonable rates of commission, interest, listing, and other charges...