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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Page 11
... protection in the over - the - coun- ter market has been greatly accentuated by its expansion and increas- ing importance , as vividly documented by findings of the special study . The average number of stocks quoted in the daily ...
... protection in the over - the - coun- ter market has been greatly accentuated by its expansion and increas- ing importance , as vividly documented by findings of the special study . The average number of stocks quoted in the daily ...
Page 13
... protection af- forded investors in the over - the - counter market . I will not quote from that Senate committee report but I would like it part of the record . ( The quotation referred to follows :) The principle of equal treatment by ...
... protection af- forded investors in the over - the - counter market . I will not quote from that Senate committee report but I would like it part of the record . ( The quotation referred to follows :) The principle of equal treatment by ...
Page 20
... protection of depositors . These objectives neither utilize the same tools nor achieve the same ends as investor protection . The purpose of disclosure is to place the investor in a position to make an informed judgment on the merits of ...
... protection of depositors . These objectives neither utilize the same tools nor achieve the same ends as investor protection . The purpose of disclosure is to place the investor in a position to make an informed judgment on the merits of ...
Page 21
... protection of investors in proxy solicitations with the exception of certain efforts of the Comptroller of the Currency . Nor are there any restrictions with respect to insider trading . The inadequacies of this reporting structure for ...
... protection of investors in proxy solicitations with the exception of certain efforts of the Comptroller of the Currency . Nor are there any restrictions with respect to insider trading . The inadequacies of this reporting structure for ...
Page 22
... protection against insider trading . Fur- thermore , they are only applicable to some national banks and leave a large number of banks - national , member , insured , and State- in which there is substantial investor interest free from ...
... protection against insider trading . Fur- thermore , they are only applicable to some national banks and leave a large number of banks - national , member , insured , and State- in which there is substantial investor interest free from ...
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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.