National Securities Market System Act of 1973: Hearings, Ninety-third Congress, First Session, on S. 2519 ...
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
U.S. Government Printing Office, 1973 - 743 páginas
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action activities additional amended antitrust appear application appropriate association authority believe bill brokers central market Chairman clear Commission commission rates Commission's competition concerning CONGRESS continue costs court customers dealer determine effect elimination Exchange Act Exchange's execution existing fact filed finds firms fixed floor follows give hearing important incentive industry institutional interest investors issue legislation LIBRARY limited listed matters membership NASDAQ national market system national securities necessary nonmember NYSE offered operation opportunity orders permit person Plan practices present problems procedures proposed protection question quotation rates reason record regional registered regulation regulatory relating Report require respect responsibilities result rules Section Securities Exchange Securities Market self-regulatory organization Senator WILLIAMS shares specialists specific standards statement Subcommittee suggested tape third market tion trading transactions York Stock Exchange
Página 699 - Commission shall give interested persons an opportunity for the oral presentation of data, views, or arguments, in addition to an opportunity to make written submissions.
Página 716 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless there were reasonable grounds for failure so to do.
Página 717 - 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...
Página 82 - Commission finds, by reason of the number of public investors, amount of trading interest in the securities, the nature and extent of the activities of the issuer, income or assets of the issuer, or otherwise, that such action is not inconsistent with the public interest or the protection of investors.
Página 218 - ... 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, and to remove impediments to and perfect the mechanism of a free and open market...
Página 89 - Act, or of this title, or of any rule or regulation under any of such statutes ; or "(3) has willfully aided, abetted, counseled, commanded, induced, or procured the violation by any other person of the Securities Act of 1933, or of the Securities Exchange Act of 1934, or of title II of this Act, or of this title, or of any rule or regulation under any of such statutes.
Página 7 - Commission may prescribe as necessary or appropriate in the public, interest or for the protection of investors, the rules of a national securities exchange may permit (1) a member to be registered as an odd-lot dealer and as such to buy and sell for his own account so far as may be reasonably necessary to carry on such oddlot transactions, and/or (2) a member to be registered as a specialist.
Página 716 - Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.