Legal Opinion
Handley Investment Company v. Securities and Exchange Commission
Court of Appeals for the Tenth Circuit
Decided December 23, 1965No. 7978_1PublishedCited by 9 opinions
1Opinion of the Court
BREITENSTEIN, Circuit Judge.
Petitioner Handley Investment Company seeks review of disciplinary action taken against it for the sale of securities at unfair prices.
Transactions in over-the-counter securities are governed by the Maloney Act of 1938 which added § 15A to the Securities Exchange Act. 1 The statute provides for cooperative regulation through the registration with the Securities and Exchange Commission (SEC) of one or more “national securities associations.” The National Association of Securities Dealers, Inc., (NASD) is the only association which has been so registered. It has…
2Cases cited3 opinions
- Associated Securities Corp. v. Securities & Exchange CommissionCourt of Appeals for the Tenth Circuit · 1960
- Samuel B. Franklin & Company v. Securities and Exchange CommissionCourt of Appeals for the Ninth Circuit · 1961
- Nassau Securities Service v. Securities and Exchange CommissionCourt of Appeals for the Second Circuit · 1965
3Cited by9 opinions
- Michael A. Rooms v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 2006
- Robert Bruce ORKIN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Eleventh Circuit · 1994
- GENERAL BOND & SHARE CO., Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Tenth Circuit · 1994
- Harwell v. Growth Programs, Inc.District Court, W.D. Texas · 1970
- Don D. Anderson & Co., Inc., and Don D. Anderson v. Securities and Exchange CommissionCourt of Appeals for the Tenth Circuit · 1970
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