 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...  National Securities Market System Act of 1973: Hearings, Ninety-third ... - Página 82por United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1973 - 743 páginasVisualização integral - Acerca deste livro
 | United States. Securities and Exchange Commission - 1963 - 1134 páginas
...nature and extent of the activities of the issuer, the income or assets of the issuer, or otherwise, the exemption is not inconsistent with the public interest or the protection of investors. During the fiscal year, 22 applications for complete or partial exemptions were filed ; 21 applications... | |
 | 1985 - 688 páginas
...dealer, registered transfer agent or registered clearing agency, if the Commission finds that such action is not inconsistent with the public interest or the protection of investors. (b) Fingerprinting pursuant to other law. Every member of a national securities exchange, broker, dealer,... | |
 | 2001 - 994 páginas
...dealer, registered transfer agent or registered clearing agency, if the Commission finds that such action is not inconsistent with the public interest or the protection of investors. (b) Fingerprinting pursuant to other law. Every member of a national securities exchange, broker, dealer,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 550 páginas
...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. The Commission may, for the purposes of any of the above mentioned sections or subsections of this... | |
 | United States. Office of the Comptroller of the Currency - 1966 - 480 páginas
...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. The Commission may, for the purposes of any of the abovementioned sections or subsections of this title,... | |
 | 1967 - 1182 páginas
...on April 21, 1966. The Commission also finds that the amended rule is necessary and appropriate and is not inconsistent with the public interest or the protection of investors. The foregoing action is taken pursuant to the Securities Exchange Act of 1934, as amended, particularly... | |
 | United States - 1976 - 476 páginas
...member, broker, dealer, transfer agent, or clearing agency, if the Commission finds that such action is not inconsistent with the public interest or the protection of investors. "(3) In order to carry out the authority under paragraphs (1) and (2) above, the Commission or its... | |
 | United States. Congress. Senate. Government Operations Committee - 1974 - 1316 páginas
...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. The Commission may, for the purposes of any of the above-mentioned sections or subsection of this chapter,... | |
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