SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 1642, a Bill to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Discliplinary Procedures for Registered Brokers and Dealers, and for Other Purposes |
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... Commission . This bill represents the legislative program of the SEC for this session and is based in large measure upon the findings in the first installment of the special study report . In particular , the bill would amend the ...
... Commission . This bill represents the legislative program of the SEC for this session and is based in large measure upon the findings in the first installment of the special study report . In particular , the bill would amend the ...
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... Commission . Section 15 of the Exchange Act provides for revoca- tion or denial of registration if a firm , or any person associated with it , ( 1 ) has been convicted of a crime involving securities trans- actions or the securities ...
... Commission . Section 15 of the Exchange Act provides for revoca- tion or denial of registration if a firm , or any person associated with it , ( 1 ) has been convicted of a crime involving securities trans- actions or the securities ...
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... Commission has consistently held that brokerage firms have a duty to supervise and on numerous occasions has stressed the necessity for adequate supervision as an essential key to maintaining proper standards . The report of the special ...
... Commission has consistently held that brokerage firms have a duty to supervise and on numerous occasions has stressed the necessity for adequate supervision as an essential key to maintaining proper standards . The report of the special ...
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... Commission to assure that their operations are carried out in compliance with those sections . Registration will provide the Commission with means adequate to discharge that responsibility . Moreover , if the Commission suspends regis ...
... Commission to assure that their operations are carried out in compliance with those sections . Registration will provide the Commission with means adequate to discharge that responsibility . Moreover , if the Commission suspends regis ...
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... Commission approval , which would permit exclusion from its membership of persons who have been suspended or expelled from an exchange for violation of any of the exchange's rules . It is anticipated that only serious misconduct of a ...
... Commission approval , which would permit exclusion from its membership of persons who have been suspended or expelled from an exchange for violation of any of the exchange's rules . It is anticipated that only serious misconduct of a ...
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Common terms and phrases
$1 million adequate amendment American Stock Exchange apply assets authority bank regulation bank stocks believe bill broker or dealer broker-dealers brokers and dealers capital CARY Chairman Commissioners committee Comptroller Congress corporations directors disciplinary disclosure requirements DOMINICK Exchange Commission exemption Federal Reserve System firms full disclosure Funston holders insider trading insurance companies intermediate sanctions investment investor protection issuers issues legislation LEMKAU ment NASD national banks over-the over-the-counter companies over-the-counter market over-the-counter securities panies percent practices Preferred Stock present problems proposed proxy rules proxy solicitation proxy statement public interest real estate securities registered regulation reporting requirements respect SCHAPIRO section 16 Securities Act Securities and Exchange securities association securities business Securities Exchange Act securities industry securities markets self-regulation Senator JAVITS Senator WILLIAMS shareholders shares solicit proxies special study standards stockholders subcommittee substantial tion transactions U.S. Senate Underwriters unlisted York Stock Exchange
Popular passages
Page 375 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Page 375 - 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...
Page 373 - Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Page 382 - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Page 374 - 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 failure to adduce such evidence in the hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 406 - ... in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
Page 380 - Cong. the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact...
Page 382 - Commission, on the ground that the testimony or evidence, documentary or otherwise required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Page 403 - ... no individual shall be prosecuted or subject to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Page 393 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.