National Securities Market System Act of 1973, Hearings Before the Subcommittee on Securities of ...,93-1, on S.2519 ...,Nivember 12, 13, and 14, 1973, Volumer 22-23

Forside
1973 - 743 sider

Inni boken

Hva folk mener - Skriv en omtale

Vi har ikke funnet noen omtaler på noen av de vanlige stedene.

Utvalgte sider

Vanlige uttrykk og setninger

Populære avsnitt

Side 678 - If any 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...
Side 43 - Commission may prescribe as necessary or appropriate in the public interest, for the protection of investors...
Side 661 - Commission shall give interested persons an opportunity for the oral presentation of data, views, or arguments, in addition to an opportunity to make written submissions.
Side 679 - 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 37 - The judgment and decree of the court shall be final, subject to review by the Supreme Court of the United States...
Side 678 - 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 40 - Commission finds, by reason of the number of public investors, amount of trading interest in the securities, the nature and extent of the activities of the issuer, income or assets of the issuer, or otherwise, that such action is not inconsistent with the public interest or the protection of investors.
Side 176 - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest, and to remove impediments to and perfect the mechanism of a free and open market...
Side 47 - Act, or of this title, or of any rule or regulation under any of such statutes ; or "(3) has willfully aided, abetted, counseled, commanded, induced, or procured the violation by any other person of the Securities Act of 1933, or of the Securities Exchange Act of 1934, or of title II of this Act, or of this title, or of any rule or regulation under any of such statutes.
Side 498 - Any registered broker or dealer may, upon such terms and conditions as the Commission may deem necessary in the public interest or for the protection of investors, withdraw from registration by filing a written notice of withdrawal with the Commission.

Bibliografisk informasjon