Regulation of Over-the-counter Markets: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-fifth Congress, Third Session, on S. 3255, H.R. 9634, Bills to Provide for the Establishment of a Merchanism Or Regulation Among Over-the-counter Brokers and Dealers Operating in Interstate and Foreign Commerce Or Through the Mails, Comparable to that Provided by National Securities Exchanges Under the Securities Exchange Act of 1934, and for Other Purposes. April 11, 1938U.S. Government Printing Office, 1938 - Всего страниц: 89 |
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acts or practices amendment answer asso board of governors BOREN broker or dealer brokers and dealers CARROLL REECE Chairman circuit court clause Commissioner Landis Commissioner MATHEWS Congress corporate bonds DARBY deal dealers in municipal deceptive EICHER exclusively municipal dealers feel fraudulent FROTHINGHAM gentlemen going Government individual interposing Investment Bankers Association KATZ KENDALL language legislation LOTHROP WITHINGTON Maloney bill manipulative acts matter membership municipal securities national securities association national securities exchange necessary or appropriate objection over-the-counter markets penalty present law protection of investors provision question reason REECE reference registered securities association representatives require rescission rule or regulation rules and regulations section 15 Securities Act Securities and Exchange securities business Securities Exchange Commission sell Senate committee STARKWEATHER statement Stock Exchange suggestion thing tion understand violation voluntary association WITHINGTON WOOD word willfully York York Stock Exchange
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Стр. 15 - No broker or dealer shall make use of the mails or 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...
Стр. 4 - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
Стр. 30 - ... (B) has willfully violated any provision of the Securities Act of 1933, as amended, or of any rule or regulation thereunder, or has effected any transaction for any other person who, he had reason to believe, was willfully violating with respect to such transaction any provision of such Act or rule or regulation...
Стр. 7 - (2) after appropriate notice and opportunity for hearing, by order to suspend for a period not exceeding twelve months or to expel from a...
Стр. 4 - ... 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...
Стр. 45 - No action shall be maintained to enforce any liability created under this section, unless brought within one year after the discovery of the facts constituting the violation and within three years after such violation.
Стр. 5 - ... appear to the Commission to be necessary or appropriate in the public interest or for the protection of investors and to carry out the purposes of this section.
Стр. 6 - ... (3) the rules of the association provide that any broker or dealer who makes 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...
Стр. 4 - ... any partner, officer, or director, any person occupying a similar status or performing similar functions, or any person directly or indirectly controlling the broker-dealer...
Стр. 7 - Commission finds has violated any provision of this title or the rules and regulations thereunder, or has effected any transaction for any other person who, he has...