Capital Markets Deregulation and Liberalization Act of 1995: Hearings Before the Subcommittee on Telecommunications and Finance of the Committee on Commerce, House of Representatives, One Hundred Fourth Congress, First Session, on H.R. 2131, November 14, November 30, and December 5, 1995, Volume 4U.S. Government Printing Office, 1996 - 334 páginas |
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Palavras e frases frequentes
Arthur Levitt banks BEESE believe bill blue sky laws broker broker-dealers capital formation capital markets Chairman Levitt changes commissioners Committee commodity pool competition concerns Congress corporate costs DINGELL disclosure efficiency eliminate enforcement ESHOO Exchange Act Exchange Commission exemptive authority federal securities laws filed firms fraud impose industry initial public offering institutional client institutional investors investment advisers investment companies investment decisions investor protection issue issuers kets KLINK LAROCHE legislation margin regulation margin requirements market participants marketplace ment merit regulation mutual funds NASAA NASD NASDAQ oversight portfolio proposed public offering recommendations registration requirements regu repeal responsibility risk role SEC's Section Securities Act Securities and Exchange securities dealers securities markets securities offerings securities regulation shareholders standards statutes subcommittee suitability obligations suitability rules tender offers testimony Thank tion trading transactions trustee U.S. markets Williams Act York Stock Exchange
Passagens conhecidas
Página 223 - It is one of the happy incidents of the federal system that a single courageous state may, if its citizens choose, serve as a laboratory; and try novel social and economic experiments without risk to the rest of the country.
Página 207 - In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
Página 310 - Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory, where the issuer of such security is a person resident and doing business within, or, if a corporation, incorporated by and doing business within, such State or Territory.
Página 121 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member, directly or indirectly to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer...
Página 303 - Section of the North American Securities Administrators Association (NASAA). In the US, NASAA is the national voice of the 50 state agencies responsible for investor protection and the efficient functioning of the capital markets at the grassroots level.
Página 123 - The committee has taken extreme care to avoid tipping the balance of regulation either in favor of management or in favor of the person making the takeover bid.
Página 308 - ... the registration statement as of its effective date or as of any earlier date in the case of an order denying effectiveness...
Página 125 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 123 - The Commission shall, for the purposes of this subsection, by rules and regulations define, and prescribe means reasonably designed to prevent, such acts and practices as are fraudulent, deceptive, or manipulative.
Página 121 - ... with respect to the amount of credit that may be initially extended and subsequently maintained on any security (other than an exempted security) registered on a national securities exchange.