Report of special study of securities markets of the Securities and Exchange Commission, Volumen2U.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 1-5 de 100
Página 42
... broker by having his number flashed on a large board in the trading area or floor . The floor broker picks up the order ( or sends a page , an Exchange employee , to do so ) , and goes to the trading post where the particular stock is ...
... broker by having his number flashed on a large board in the trading area or floor . The floor broker picks up the order ( or sends a page , an Exchange employee , to do so ) , and goes to the trading post where the particular stock is ...
Página 46
... brokers and firms is to execute orders for commission houses having more business than their own floor brokers can handle . For this service the two - dollar broker receives " floor brokerage , " which is a set minimum fee and is part ...
... brokers and firms is to execute orders for commission houses having more business than their own floor brokers can handle . For this service the two - dollar broker receives " floor brokerage , " which is a set minimum fee and is part ...
Página 47
... broker and dealer , in the stocks in which he is registered with the Exchange as specialist . The continuous auction market and the division of the floor into posts creates two problems which have led to the development of the special ...
... broker and dealer , in the stocks in which he is registered with the Exchange as specialist . The continuous auction market and the division of the floor into posts creates two problems which have led to the development of the special ...
Página 49
... broker and dealer functions , and contemplated " pure " exchange markets made up ex- clusively of brokers . In the hearings which followed the introduction of this bill , the exchanges argued that elimination of the dealer activities of ...
... broker and dealer functions , and contemplated " pure " exchange markets made up ex- clusively of brokers . In the hearings which followed the introduction of this bill , the exchanges argued that elimination of the dealer activities of ...
Página 71
... brokers when they execute orders on the floor.124 On the Amex , contrary to the NYSE practice , when an order is transmitted to a specialist , floor brokerage may be shared by the specialist with the forwarding broker . 125 A ...
... brokers when they execute orders on the floor.124 On the Amex , contrary to the NYSE practice , when an order is transmitted to a specialist , floor brokerage may be shared by the specialist with the forwarding broker . 125 A ...
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Términos y frases comunes
active stocks American Stock Exchange Amex arbitrage associate brokers auction market average block brokerage capital chart cialist commission business commission firms commission rates committee cost DeCoppet & Doremus differential discussed Ebasco effect Exchange Act Exchange's execution fair and orderly floor brokers floor department floor traders inactive stocks income increase indicated investors June 16 last sale liquidity lots market order member firms member trading nonmember number of shares NYSE odd-lot business odd-lot dealers odd-lot firms odd-lot orders opening orderly market over-the-counter participation percent of total period price change price movements problems profit prohibition purchases and sales regional exchanges respect round-lot transactions rule securities Segregation seller short interest short position short sales short selling Special Study specialist testified specialist trading specialist units specialists purchased Sperry Rand stabilizing stock days tick test tion total volume U.S. Steel York Stock Exchange zero-plus tick
Pasajes populares
Página 466 - The Commission is authorized and directed to make a study and investigation of the work, activities, personnel, and functions of protective and reorganization committees in connection with the reorganization, readjustment, rehabilitation, liquidation, or consolidation of persons and properties and to report the result of its studies and investigations and its recommendations to the...
Página 300 - Commission determines that such exchange has not made the changes so requested, and that such changes are necessary or appropriate for the protection of investors or to insure fair dealing in securities traded in upon such exchange or to insure fair administration of such exchange, by rules or regulations or by order to alter or supplement the rules of such exchange (insofar as necessary or appropriate to effect such changes...
Página 573 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Página 177 - ... effect on its own behalf specified changes in its rules and practices, and after appropriate notice and opportunity for hearing, the Commission determines that such...
Página 295 - We, the Subscribers, Brokers for the Purchase and Sale of Public Stock, do hereby solemnly promise and pledge ourselves to each other that we will not buy or sell from this day, for any person whatsoever, any kind of Public Stock, at a less rate than one quarter per cent. Commission on the specie value, and that we will give a preference to each other in our Negotiations.
Página 65 - In accordance with such rules and regulations or order as the Commission may deem necessary or appropriate in the public interest or for the protection of investors or consumers...
Página 573 - ... fraudulent, deceptive, or manipulative act or practice, or makes any fictitious quotation. The Commission shall, for the purposes of this paragraph, by rules and regulations define, and prescribe means reasonably designed to prevent, such acts and practices as are fraudulent, deceptive, or manipulative and such quotations as are fictitious.
Página 168 - ... the offer or selling at the bid, whether such transactions are to establish or to liquidate a position. Provisions should be made for exemptions from the rules with approval of floor officials and for systematic review by the respective floor departments. As to the general obligation of specialists to participate to the extent reasonably necessary to maintain a fair and orderly market, the rules should give emphasis to the concept of continuity with reasonable depth, that is, participating in...
Página 227 - Commission is directed to make a study of the feasibility and advisability of the complete segregation of the functions of dealer and broker...
Página 468 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...