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" Exchanges is responsible for (1) administering the provisions of the Securities Exchange Act of 1934 and the Investment Advisers Act... "
Independent Offices Appropriations for 1960: Hearings ... 86th Congress, 1st ... - Page 183
by United States. Congress. House. Appropriations - 1959 - 1031 pages
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Independent Offices Appropriation Bill for 1944: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - Executive departments - 1943 - 1299 pages
...Trading and Exchange Division is responsible for the administrative and enforcement work under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. Securities Exchange Act of 1934.— The Securities Exchange Act of 1934 is designed to eliminate manipulation...
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House Joint Resolution 207: Hearings ... Seventy-ninth Congress, First ...

United States. Congress. House. Committee on Appropriations - Floods - 1945 - 33 pages
...$410,541 The Trading and Exchange Division performs the administrative and enforcement work under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. An increase of $42,658 involving 15.7 man-years, is requested in 1946 for certain functions under the...
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Independent Offices Appropriation Bill for 1947: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - Executive departments - 1946 - 1199 pages
...Exchange Division is generally encaged on work incident to the administration and enforcement of the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. The justifications include data as to the volume of work performed under the measurable functions of...
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The Code of Federal Regulations of the United States of America

Administrative law - 1967
...Commission for the administration and enforcement of matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940, as specified below: (a) Investigations of violations or suspected violations of sections 5 and 17 of...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1970
...Commission for the administration and enforcement of matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940, as specified below: (a) Investigations of violations or suspected violations of sections 5 and 17 of...
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Independent Offices Appropriation Bill for 1950: Hearings ..., Volume 14, Part 1

United States. Congress. House. Committee on Appropriations - Executive departments - 1949
...staff of that Division is occupied with duties involving the administration and enforcement of the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940, as well as the general supervision over all of our enforcement activities. of illegal practices in...
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Independent Offices Appropriation Bill for 1959 ..., Volume 1; Volume 21

United States. Congress. House. Committee on Appropriations - Executive departments - 1958
...responsible for (1) admitiisterini the provisions of the Securities Exchange Act of 1934 and the Investma Advisers Act of 1940 pertaining to the detection and prevention of illegal o fraudulent practices in the marketing and trading of securities both on th exchanges and in the over-the-counter...
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Independent Offices Appropriations for 1960: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - Executive departments - 1959
...EXCHANGES FUNCTIONAL STATEMENT The Division of Trading and Exchanges is responsible for (1) administering the provisions of the Securities Exchange Act of 1934...the exchanges and in the over-the-counter markets; (2) the registration and regulation of national securities exchanges, brokers and dealers, national...
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Securities Acts Amendments, 1959: Hearings Before a Subcommittee of the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Securities - 1960 - 426 pages
...of applications for registration as a broker-dealer or investment adviser, respectively, under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 after the Commission has instituted proceedings to deny such applications and, in particular, to oppose...
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SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking ...

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - Stock exchanges - 1959 - 640 pages
...Moreover, the Commission recognizes such freedom to withdraw in the comparable situation under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940, ie, before initiation of proceedings to deny registration as a broker-dealer or investment adviser,...
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