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Report of the Committee on Banking Housing and Urban
Public Law 9429
7 other sections not shown
89 STAT action American Stock Exchange application appropriate regulatory agency authority bank bond broker or dealer broker-dealer brokers and dealers Cong corporate trustee court determine disclosure effect transactions Exchange Commission exempted security Federal Federal Reserve System fiduciary filing impose Insurance investment adviser investment company issuer ment municipal securities brokers municipal securities dealer Municipal Securities Rulemaking NASD national market system national securities exchange natural person necessary or appropriate notice and opportunity NYSE off-board trading opportunity for hearing paragraph participant person associated procedures proceedings proposed rule change protection of investors provisions public interest purposes pursuant to Section quotations registered broker registered clearing agency registered securities association regulations thereunder respect rules and regulations rules or regulations Securities and Exchange Securities Exchange Act securities information processor Securities Rulemaking Board securities transactions self-regulatory organization specialist subsection third market maker tion United States Code violation York Stock Exchange