Investor Protection: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, First[- Second] Session, on H. R. 6789, H. R. 6793, S. 1642...April 3; November 19, 20, 21, 1963U.S. Government Printing Office, 1964 - 1418 páginas |
Dentro del libro
Resultados 1-3 de 88
Página 232
... Commission if the aggrieved person makes application for review or if the Commission institutes review on its own motion . Second change . - The second change in this section would shorten the period in which an aggrieved member ...
... Commission if the aggrieved person makes application for review or if the Commission institutes review on its own motion . Second change . - The second change in this section would shorten the period in which an aggrieved member ...
Página 450
... Commission agrees that it should address more positive and continuous attention to the commission rate structure of the New York Stock Ex- change . We accept the suggestions that studies should be made concerning : arrangements for ...
... Commission agrees that it should address more positive and continuous attention to the commission rate structure of the New York Stock Ex- change . We accept the suggestions that studies should be made concerning : arrangements for ...
Página 1181
... Commission's audit and how often the Commission > vered all of the members of the exchange as well as the Commission's reliance pon the audit of the exchange . It appears that our questioning at that time roperly should have concerned ...
... Commission's audit and how often the Commission > vered all of the members of the exchange as well as the Commission's reliance pon the audit of the exchange . It appears that our questioning at that time roperly should have concerned ...
Contenido
Hearings held on Page 883 9383 2 NE BERT | 2 |
Communications submitted for the recordContinued | 5 |
Text | 43 |
Derechos de autor | |
Otras 9 secciones no mostradas
Términos y frases comunes
87th Congress activities additional amended American Stock Exchange appropriate approval assets authority banks basis bill Board of Governors broker or dealer broker-dealers capital CARY Chairman commerce Commission's committee Congress corporation customers directors disclosure effective employees Exchange Commission Exchange's exemption Federal filed funds HARRIS insider trading insurance companies intrastate Investment Company issuer issues jurisdiction legislation listing application member firms member organizations membership ment mutual fund NASD national securities exchange NYSE OREN HARRIS over-the-counter market percent person associated practices procedures proposed protection of investors proxy proxy statement public interest pursuant quotations registered securities association registration statement regulation regulatory respect responsibility rules section 12 Securities Act Securities and Exchange securities business Securities Exchange Act securities markets self-regulation self-regulatory agencies selling shareholders shares short selling solicitation specialist specific staff STAGGERS standards stockholders suspend tion transactions violation York Stock Exchange