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 22-231973 - 743 sider |
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Side 9
... necessary to carry on such odd - lot transactions , 3 and ( 2 ) a member to be registered as a specialist . If un- 4 ... necessary to permit him to maintain a fair and orderly market 9 10 11 and to those necessary to permit him to act as ...
... necessary to carry on such odd - lot transactions , 3 and ( 2 ) a member to be registered as a specialist . If un- 4 ... necessary to permit him to maintain a fair and orderly market 9 10 11 and to those necessary to permit him to act as ...
Side 11
... necessary to carry on such odd - lot transactions , 3 and ( 2 ) a member to be registered as a specialist . If un- 4 ... necessary to permit him to maintain a fair and orderly market and to those necessary to permit him to act as an odd ...
... necessary to carry on such odd - lot transactions , 3 and ( 2 ) a member to be registered as a specialist . If un- 4 ... necessary to permit him to maintain a fair and orderly market and to those necessary to permit him to act as an odd ...
Side 13
... necessary or appropriate in the public 8 interest or for the protection of investors , withdraw from 9 registration by filing a written notice of withdrawal with the 10 Commission . If the Commission finds that any registrant or 11 ...
... necessary or appropriate in the public 8 interest or for the protection of investors , withdraw from 9 registration by filing a written notice of withdrawal with the 10 Commission . If the Commission finds that any registrant or 11 ...
Side 17
... necessary or appropriate in the public 6 interest or for the protection of investors ( 1 ) to assure 7 that current , accurate , and informative quotations and reports 8 of transactions in all securities ( other than exempted se- 9 ...
... necessary or appropriate in the public 6 interest or for the protection of investors ( 1 ) to assure 7 that current , accurate , and informative quotations and reports 8 of transactions in all securities ( other than exempted se- 9 ...
Side 19
... necessary or appropriate in the public interest or 6 for the protection of investors . In considering an applica- 7 tion for the extension of unlisted trading privileges to a se- 8 curity not listed and registered on a national ...
... necessary or appropriate in the public interest or 6 for the protection of investors . In considering an applica- 7 tion for the extension of unlisted trading privileges to a se- 8 curity not listed and registered on a national ...
Vanlige uttrykk og setninger
action amended American Stock Exchange auction market AutEx authority believe bid-offer spreads bill broker or dealer broker-dealers brokerage central market system Chairman commission rates Commission's competitive commission consolidated tape court customers discount effect exchange members exchange membership exchange rules Exchange's fair and orderly fixed commissions fixed minimum commission incentive Instinet issuer legislation listed securities market makers market-makers minimum commission system NASD NASDAQ national market system national securities exchange National Securities Market NEEDHAM nonmember brokers NYSE members NYSE's off-board over-the-counter person procedures prohibition or limitation proposed Section protection of investors public interest purposes quotations reason regional exchanges registered securities regulatory Report require rules and regulations SEC's Section 11A Section 19 securities association Securities Exchange Act securities industry securities information processor Securities Market System self-regulatory organization Senator BIDEN Senator WILLIAMS specialist statement Subcommittee third market tion transactions unlisted trading York Stock Exchange
Populære avsnitt
Side 676 - 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 41 - Commission may prescribe as necessary or appropriate in the public interest, for the protection of investors...
Side 659 - 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 677 - 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 38 - The judgment and decree of the court shall be final, subject to review by the Supreme Court of the United States...
Side 676 - 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 38 - 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 174 - ... 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 45 - 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 496 - 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.