Securities Industry Study: ReportU.S. Government Printing Office, 1973 - 240 sider |
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Side vii
... 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 Non - Members- b ...
... 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 Non - Members- b ...
Side 5
... self - regulatory agencies , however , the Securities Exchange Act of 1934 ( the " Exchange Act " ) should be amended to impose a specific responsibility on those agencies to enforce their own rules . The passage of the Securities ...
... self - regulatory agencies , however , the Securities Exchange Act of 1934 ( the " Exchange Act " ) should be amended to impose a specific responsibility on those agencies to enforce their own rules . The passage of the Securities ...
Side 13
... legislation to prohibit any market- makers in listed securities from dealing ... self - regulatory organizations in the regulation of the securities business ... rules which the SEC is authorized to promulgate under the Act . Industry ...
... legislation to prohibit any market- makers in listed securities from dealing ... self - regulatory organizations in the regulation of the securities business ... rules which the SEC is authorized to promulgate under the Act . Industry ...
Side 14
... Act , was to take advantage of the flexibility of self - regulation , in areas of " ethics and morality " where it was felt to be undesirable to provide for direct government ... self - regulatory organizations to adopt procedures which 14.
... Act , was to take advantage of the flexibility of self - regulation , in areas of " ethics and morality " where it was felt to be undesirable to provide for direct government ... self - regulatory organizations to adopt procedures which 14.
Side 15
... self - regulatory organizations to adopt procedures which will afford ... rules and rule changes can be properly understood by the public and ... rules on any subject so long as they are not inconsistent with the Act or the SEC's rules ...
... self - regulatory organizations to adopt procedures which will afford ... rules and rule changes can be properly understood by the public and ... rules on any subject so long as they are not inconsistent with the Act or the SEC's rules ...
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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...