conducted upon securities exchanges and over-the-counter markets are effected

the Committee on Banking, Housing, and Urban Affairs of the Senate and the

impose upon all loans made for the purpose of purchasing or carrying securities ..... limitations similar to those imposed upon members, brokers, or dealers by ..... the protection of investors, exempt, either unconditionally or upon specified ..... ” for “other than exempted securities and/or securities registered upon a

deemed to become a beneficial owner of any of the foregoing upon the purchase or ..... adjusted rate, collection of fees upon lapse of appropriation, and ..... ) upon the purchase or sale of a security-based swap that the Commission ..... a class described in subsection (d)(1) upon the purchase or sale of a ..... , and the Committee on Banking, Housing, and Urban Affairs of the Senate

offered by brokers and dealers, of imposing upon brokers, dealers, and ..... ) the potential impact upon retail customers that could ..... ) the Committee on Banking, Housing, and Urban Affairs of the

section referred to as the “Secretary”), by rule or order, upon the ..... Secretary’s own motion or upon application, may conditionally or unconditionally ..... dealer may, upon such terms and conditions as the Commission may deem necessary ..... securities dealer and, upon request, furnish to the appropriate regulatory ..... December 17, 1993, and annually thereafter, or upon the

The Commission, or upon ..... The Commission, or upon the ..... received compensation with respect to a research report, based upon (among ..... reasonably sufficient upon which to base an investment decision

) Report.—Upon conclusion of the review ..... : “Upon the basis of facts disclosed by the record and report of ..... Committee on Banking, Housing, and Urban Affairs of the Senate and the ..... Banking, Housing, and Urban Affairs of the Senate and the Committee on Financial

recognized statistical rating organization, upon the granting of registration ..... nationally recognized statistical rating organization may, upon such terms and ..... respect been passed upon, by the United States or any agency, officer, or ..... Upon receiving such a report, the Commission shall make such information ..... 29, 2006, the Commission shall give notice of the actions undertaken

security-based swaps, upon the request of the counterparty, receipt of the