 | United States. Securities and Exchange Commission - 1945 - 1290 páginas
...membership) employed in the business, but not exceeding in any case 2,000 per centum, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors.1 The section requires not only that a broker have... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 páginas
...authorizations are being solicited, and such further information, and In such form and detail, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of Investors, and (ii) every such solicitation shall include... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 páginas
...of exchange membership) employed in the business, not exceeding 1,000 per centum, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. (c) To hypothecate or arrange for the hypothecation... | |
 | United States. Congress. Senate. Committee on Interstate Commerce - 1935 - 1164 páginas
...conditions hereinafter provided In this section, by filing an application in such form as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors and consumers. Such application shall include —... | |
 | United States. Congress. Senate. Committee on Finance - 1939 - 1104 páginas
...Each such application shall be in such form, and shall be signed in such manner, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. Each such application shall include the information... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1937 - 244 páginas
...security. Such application shall be in such form, and shall be signed in such manner, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. Such application shall include such of the information... | |
 | United States. Securities and Exchange Commission - 1940 - 1176 páginas
...regarding any of the acts enumerated in subsection (a) of Section 6, in such form as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors or consumers. • • • Subsection (a) of Section... | |
 | United States. Securities and Exchange Commission - 1943 - 1160 páginas
...assets, or of any other Interest In any business, by filing an application In sucb form as the Commission may by rules and regulations prescribe as necessary or appropriate in the public Interest or for the protection of Investors and consumers. • * * • • (c) Notwithstanding... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 106 páginas
...underwriters, and the direct or indirect relationships between any of the foregoing, as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors. Subject to the provisions of section 10, the information... | |
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... to exceed such percentage of the net capital (exclusive of fixed assets and value of exchange membership) employed in the business, but not exceeding in any case 2,000 per centum, as the Commission may by rules and regulations prescribe as necessary... 
