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 79
Página 131
... NASD is reflected in sec- tion 7 ( a ) ( 6 ) requiring its adoption of rules designed to produce fair and infor- mative quotations of over - the - counter securities . The section is intended to clarify the NASD's authority in this area ...
... NASD is reflected in sec- tion 7 ( a ) ( 6 ) requiring its adoption of rules designed to produce fair and infor- mative quotations of over - the - counter securities . The section is intended to clarify the NASD's authority in this area ...
Página 1217
... NASD . In this connection , it would appear that the activities of the NASD have proven effective in reducing the number of the most serious legal offenses - those that lead to revocation of registration with the Com- mission . During ...
... NASD . In this connection , it would appear that the activities of the NASD have proven effective in reducing the number of the most serious legal offenses - those that lead to revocation of registration with the Com- mission . During ...
Página 1233
... NASD's members would increase by 33 to 50 percent over fiscal 1963. During the NASD's current fiscal year no firm will pay annual dues of more than $ 12,500 , the overall maximum on annual dues . The above figures relate to the annual ...
... NASD's members would increase by 33 to 50 percent over fiscal 1963. During the NASD's current fiscal year no firm will pay annual dues of more than $ 12,500 , the overall maximum on annual dues . The above figures relate to the annual ...
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