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INDEPENDENT BROKER-DEAL. T. ASS'N v. SECURITIES & E. COM'N

No. 22552.

442 F.2d 132 (1971)

INDEPENDENT BROKER-DEALERS' TRADE ASSOCIATION et al., Appellants, v. SECURITIES & EXCHANGE COMMISSION et al.

United States Court of Appeals, District of Columbia Circuit.

Decided March 4, 1971.

As Amended May 18, 1971.

Attorney(s) appearing for the Case

Mr. Carl L. Shipley, Washington, D. C., and Mr. Alan A. Garfinkel, Pittsburgh, Pa., of the bar of the Supreme Court of Pennsylvania, pro hac vice, by special leave of court, for appellants.

Mr. Philip A. Loomis, Jr., General Counsel, Securities & Exchange Commission, with whom Messrs. Walter P. North, Associate General Counsel, and Brian M. Eisenberg, Atty., Securities & Exchange Commission, were on the brief, for appellees.

Before LEVENTHAL, ROBINSON, and ROBB, Circuit Judges.

LEVENTHAL, Circuit Judge:

In October, 1968, the members of the New York Stock Exchange voted to abolish customer-directed give-ups of brokerage fees. Appellants, an unincorporated association of securities brokers and dealers and several of its members, brought this action in the District Court for declaratory and injunctive relief. They claimed that the Securities and Exchange Commission had in effect ordered the Exchange to abolish give-ups, in a letter dated August...

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