Unlisted Securities: Hearing Before the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-fourth Congress, Second Session, on S.4023, an Act to Provide for the Continuation of Trading in Unlisted Securities Upon National Securities Exchanges, for the Registration of Over-the-counter Brokers and Dealers, for the Filing of Current Information and Periodic Reports by Issuers, and for Other Purposes, May 6, 1936 |
From inside the book
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... BROKERS AND DEALERS , FOR THE FILING OF CURRENTM201 INFORMATION AND PERIODIC REPORTS BY ISSUERS , AND HOL FOR OTHER PURPOSES OBIT glowtill 440 L2T 68853 MAY 6 , 1936 UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON : 1936 COMMITTEE ...
... BROKERS AND DEALERS , FOR THE FILING OF CURRENTM201 INFORMATION AND PERIODIC REPORTS BY ISSUERS , AND HOL FOR OTHER PURPOSES OBIT glowtill 440 L2T 68853 MAY 6 , 1936 UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON : 1936 COMMITTEE ...
Page 5
... brokers and dealers for whom registration is in effect on the date of enactment of this Act in accordance with rules and regulations of the Commission prescribed pursuant to section 15 of the Securities Exchange Act of 1934 shall be ...
... brokers and dealers for whom registration is in effect on the date of enactment of this Act in accordance with rules and regulations of the Commission prescribed pursuant to section 15 of the Securities Exchange Act of 1934 shall be ...
Page 10
... brokers and dealers in the over - the - counter mar- ket . There are about 6,000 brokers and dealers registered with us at the present time . We have developed , under the authority of section 15 , a schematic device for the ...
... brokers and dealers in the over - the - counter mar- ket . There are about 6,000 brokers and dealers registered with us at the present time . We have developed , under the authority of section 15 , a schematic device for the ...
Page 11
... brokers and dealers who held positions in those securities might be penalized . Their market to dispose of those securities might be unduly interfered with . And we felt that the way in which the sanction was placed there , not upon the ...
... brokers and dealers who held positions in those securities might be penalized . Their market to dispose of those securities might be unduly interfered with . And we felt that the way in which the sanction was placed there , not upon the ...
Page 12
... brokers and dealers , but they apply also to every Tom , Dick , and Harry who may be selling or buying securities ; and therefore that with reference to those persons , not the brokers and dealers , the Commission has the power to ...
... brokers and dealers , but they apply also to every Tom , Dick , and Harry who may be selling or buying securities ; and therefore that with reference to those persons , not the brokers and dealers , the Commission has the power to ...
Common terms and phrases
Act is amended amended by section American Bankers Association application for registration appropriate notice banks broker or dealer brokers and dealers CHAIRMAN commercial paper committee Comptroller Congress curity exchange market exempted security Federal Reserve System filed giving the Commission indirectly controlling interstate commerce ipal issuer jurisdiction LANDIS listed and registered listed on exchanges MAPES ment MERRITT misrepresentation municipal bonds municipal dealers municipal securities municipal-bond dealers national securities exchange necessary or appropriate notice and opportunity objection opportunity for hearing outstanding over-the-counter person directly PETTENGILL PEYSER prevent fraud protection of investors public interest purchase or sale question quotations or transactions REED registration pursuant registration shall become registration statement regulation thereunder rule or regulation rules and regulations sale of municipal section 15 Securities Act Securities Exchange Act situation standpoint suant subsection f telegram traded unlisted unlisted department unlisted securities unlisted trading privileges words York Curb Exchange
Popular passages
Page 3 - ... acceptances, or commercial bills) otherwise than on a national securities exchange, in contravention of such rules and regulations as the Commission may prescribe...
Page 4 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Page 3 - Act of 1933, as amended, shall file with the Commission, in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors, such supplementary and periodic information, documents, and reports as may be required...
Page 2 - ... any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), or any person directly or indirectly controlling or controlled by such broker or dealer...
Page 1 - System shall, by such rules and regulations as it may deem necessary or appropriate in the public interest or for the protection of investors, exempt, either unconditionally or upon specified terms and conditions or for stated periods, from the operation of this subsection and the rules and regulations thereunder.
Page 2 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 2 - 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 the purchase or sale of, any security (other than commercial paper, bankers...
Page 4 - States the sum of $100 for each and every day of the continuance of such failure, which forfeiture shall be payable into the Treasury of the United States, and shall be recoverable in a civil suit in the name of the United States...
Page 3 - 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.
Page 4 - ... shall forfeit to the United States the sum of $100 for each and every day of the continuance of such failure, which forfeiture shall be payable into the Treasury of the United States...