Securities acts amendments of 1975: hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, first session, on S. 249 to amend the Securities exchange act of 1934 and for other purposes, February 19, 20, and 21, 1975
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
U.S. Govt. Print. Off., 1975 - Business & Economics - 525 pages
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action affiliated application appropriate regulatory agency authority bank believe bill broker or dealer brokerage Chairman Commission's Committee competitive commission Congress corporate deleted determine disclosure elimination enforce exemption Federal Reserve System fiduciary filing fixed rates foreign broker-dealers functions individual retirement accounts institutional investment investment adviser Investment Company investment discretion investment manager issuer jurisdiction legislation market makers membership ment money managers municipal securities dealer mutual fund NASD national market system national securities exchange necessary or appropriate NYSE operations paragraph participants permit person associated prescribe procedures proposed Section protection of investors provisions public interest purposes pursuant reasonable registered clearing agency registered securities association regulations thereunder require respect responsibility rules and regulations Securities Exchange Act securities industry securities information processor securities transactions self-regulatory organization Senator Williams specific standards Stock Exchange Subcommittee subparagraph subsection thereof tion trading transfer agent York Stock Exchange