(Download) "Sirianni v. United States Securities and Exchange Commission" by Ninth Circuit United States Court of Appeals # Book PDF Kindle ePub Free
eBook details
- Title: Sirianni v. United States Securities and Exchange Commission
- Author : Ninth Circuit United States Court of Appeals
- Release Date : January 24, 1982
- Genre: Law,Books,Professional & Technical,
- Pages : * pages
- Size : 75 KB
Description
Petitioner Sirianni seeks review of a decision and order of the Securities and Exchange Commission (SEC) affirming disciplinary action taken against him by the National Association of Securities Dealers, Inc. (NASD). NASD is a national securities association registered with SEC under Section 15A of the Securities Exchange Act of 1934 (the Exchange Act), 15 U.S.C. § 78o -3(a). It is composed of firms who sell securities in the over-the-counter market. The Exchange Act requires NASD to regulate the conduct of its members by promulgation of rules designed to protect investors and to promote just and equitable principles of trade. 15 U.S.C. § 78o -3(b)(6). NASD has adopted such rules and enforces them through imposition of disciplinary sanctions. Disciplinary actions by NASD are subject to review by SEC. 15 U.S.C. § 78s(e).
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