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HANDLEY INVESTMENT COMPANY v. SECURITIES AND EXCHANGE COM'N

No. 7978.

354 F.2d 64 (1965)

HANDLEY INVESTMENT COMPANY, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals Tenth Circuit.

December 23, 1965.

Attorney(s) appearing for the Case

Fred Gilbert, Tulsa, Okl. (Farmer, Woolsey, Flippo & Bailey, Tulsa, Okl., were with him on the brief), for petitioner.

Edward B. Wagner (Philip A. Loomis, Jr., Gen. Counsel, David Ferber, Sol., and Gus J. Bennett, Atty., S. E. C.), for respondent.

Before MURRAH, Chief Judge, and BREITENSTEIN and SETH, Circuit Judges.

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...

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