Securities Industry Study, Report If the Subcommittee on Securities ...260 |
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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 Commission Rate Hearings Commission's Committee competitive Congress courts customers decisions disciplinary effect enforce exchange members exchange rules Exchange's filed financial responsibility funds hereinafter cited House Hearings immunity Institutional Investor Study institutional membership investment issues judicial review jurisdiction legislation listed securities market makers market-makers member firms ment money management NASD NASDAQ national securities exchanges non-member NYSE members NYSE's problems procedures prohibited proposed rule protection public interest question recommendations regional exchanges regulation regulatory Report 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 specific statutory structure Study Hearings Subcomm Subcommittee believes supra note Testimony third market tion transactions William McChesney Martin York Stock Exchange
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Side 194 - 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 203 - 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 182 - The rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade...
Side 191 - Before the Subcomm. on Securities of the Senate Comm. on Banking, Housing, and Urban Affairs, 97th Cong., 2d Sess.
Side 19 - No broker or dealer shall make use of the mails or of 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 182 - Nothing in this title shall be construed to prevent any exchange from adopting and enforcing any rule not inconsistent with this title and the rules and regulations thereunder and the applicable laws of the State in which it is located.
Side 200 - Repeal is to be regarded as implied only if necessary to make the Securities Exchange Act work, and even then only to the minimum extent necessary.
Side 188 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Side 182 - ... and the rules and regulations thereunder and that the rules of the exchange are just and adequate to insure fair dealing and to protect investors, the Commission shall cause such exchange to be registered as a national securities exchange.