 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...Commission is directed to make a study of the feasibility and desirability of the complete divorcement of the functions of dealer and broker and to report...the results of its study and its recommendations to Congress on or before January 1, 1936. REGISTRATION REQUIREMENTS FOB StXJtllHTIES SEC. 11. (a) It shall... | |
 | United States. Congress. House. Appropriations - 1935 - 1456 páginas
...sellers. Mr. BANE. If you want that third study, Mr. Chairman, that I did not complete. The act directs the Commission to make a study of the feasibility...segregation of the functions of dealer and broker and the Commission was directed to report the results of its study and its recommendations to the Congress... | |
 | United States. Congress. House. Committee on Appropriations - 1935 - 1276 páginas
...sellers. Mr. BANE. If you want that third study, Mr. Chairman, that I did not complete. The act directs the Commission to make a study of the feasibility...segregation of the functions of dealer and broker and the Commission was directed to report the results of its study and its recommendations to the Congress... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1180 páginas
...Securities Exchange Act of 1934, the Commission conducted a study and prepared a report for Congress on the feasibility and advisability of the complete segregation of the functions of broker and dealer. The report included a study of the broker and dealer functions as exercised on exchanges... | |
 | Elizabeth Phelps - 1941 - 890 páginas
...sections. Washington, 1939. . Survey of American Listed Corporations. Washington, 1940. . Report on the Feasibility and Advisability of the Complete Segregation of the Functions of Broker and Dealer. Washington, GPO, 1936. -. Selected Statistics on Securities and on Exchange Markets.... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942 - 1720 páginas
...which the committee considers beyond the scope of this report. Section 11 of the Exchange Act directs the Commission to "make a study of the feasibility...segregation of the functions of dealer and broker, and report the results of this study and its recommendations to the Congress on or before January 3, 1936,"... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942 - 348 páginas
...which the committee considers beyond the scope of this report. Section 11 of the Exchange Act directs the Commission to "make a study of the feasibility...segregation of the functions of dealer and broker, and report the results of this study and its recommendations to the Congress on or before January 3, 1936,"... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942 - 296 páginas
...affected very considerably by section 11 (e) as it now appears in the act. That section, as you know, directed the Commission to make a study of the feasibility...and advisability of the complete segregation of the function of broker and dealer and to report thereon to the Congress in 1936. As has already been pointed... | |
 | United States. Securities and Exchange Commission - 1944 - 1290 páginas
...securities for the account of members of the public. See, Glossary to the Commis•iwt't Report on Feasibility and Advisability of the Complete Segregation of the Functions of Dealer and Broker («WS). K The example which follows, although typical of odd-lot executions effected on the NYSE, Got*... | |
 | 1950 - 634 páginas
...19. SEC "REPORT ON SEGREGATION OF DEALER AND BROKER" A. Official Title and Citation SEC, Report on the Feasibility and Advisability of the Complete Segregation of the Functions of Dealer and Broker (1936). B. Dates June 20, 1936. C. Scope of Investigation Section 11 (e) of the Securities Exchange... | |
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Commission is directed to make a study of the feasibility and advisability of the complete segregation of the functions of dealer and broker... 
