 | United States. Securities and Exchange Commission - Securities - 1955 - 920 pages
...guch rules and regulations as the Commission may prescribe as necessary or appropriate In the public Interest or for the protection of Investors to provide...financial responsibility of brokers and dealers." preceding the hearings, continued drilling expenses were contemplated and no basis was presented for... | |
 | United States. Securities and Exchange Commission - Securities - 1956 - 900 pages
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...respect to the financial responsibility of brokers and dealers.1 1 Prior to amendment by Public No. 719, 75th Cong., approved June 25, 1938, (52 Stat. 1075),... | |
 | United States. Securities and Exchange Commission - Securities - 1958 - 1232 pages
...Interstate commerce to effect over-the-counter transactions in contravention of rules we have prescribed for the protection of investors to provide safeguards...the financial responsibility of brokers and dealers. Enle X-15C3-1 provides that no broker or dealer shall permit his aggregate Indebtedness to all other... | |
 | United States - Corporation law - 1938 - 48 pages
...such rules and regulations as the Com/mission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...safeguards with respect to the financial responsibility of broJcers and dealers." (d) Each registration statement hereafter filed pursuant to the Securities Act... | |
 | United States. Securities and Exchange Commission - Securities - 1960 - 996 pages
...terms authorizes us to adopt such rules as we may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...safeguards with respect to the financial responsibility of any brokers or dealers who use the malls or the facilities of interstate commerce to effect over-the-counter... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 pages
...safeguards against unfair discrimination between customers, or issuers, or brokers and dealers; (5) ] to provide safeguards with respect to the financial responsibility of brokers and dealers and against the evasion of financial responsibility through the use of corporate forms, special partnerships,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - Brokers - 1938 - 148 pages
...safeguards against unfair discrimination between customers, or issuers, or brokers and dealers; (-5)] (#) to provide safeguards with respect to the financial responsibility of brokers and dealers [and against the evasion of financial responsibility through the use of corporate forms, special partnerships... | |
 | United States - Law - 1953 - 1692 pages
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public by rules and regulations or order may conditionally or unconditionally exempt as being necessar (d) Each registration statement hereafter filed pursuant to the Securities Act of 1933, shall contain... | |
 | United States - Corporation law - 1973 - 400 pages
...such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody... | |
 | United States - Securities - 1955 - 54 pages
...such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors to provide...the financial responsibility of brokers and dealers? (d) Each registration statement hereafter filed pursuant to the Securities Act of 1933, as amended,... | |
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... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial... 
