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 |
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Página 672
... STAGGERS . Does NASD prescribe any minimum period of train- ing for salesmen as is required by the law on the New York Stock Exchange ? Mr. LEMKAU . No ; we do not have any training period . Mr. ROCKEFELLER . There is no experience ...
... STAGGERS . Does NASD prescribe any minimum period of train- ing for salesmen as is required by the law on the New York Stock Exchange ? Mr. LEMKAU . No ; we do not have any training period . Mr. ROCKEFELLER . There is no experience ...
Página 753
... STAGGERS . Then your suggestion to us , I conclude , is that it is a positive thing ; we either include them or let others out ? Mr. COLEMAN . Yes . I think really the SEC should have the au- thority on bank stocks , if they are going ...
... STAGGERS . Then your suggestion to us , I conclude , is that it is a positive thing ; we either include them or let others out ? Mr. COLEMAN . Yes . I think really the SEC should have the au- thority on bank stocks , if they are going ...
Página 942
... STAGGERS . You just do it voluntarily ? Mr. RIDGWAY . Voluntarily . That is correct , sir . Mr. STAGGERS . When you solicit proxies , do you not furnish the information that you have heard testified , that the Commission would require ...
... STAGGERS . You just do it voluntarily ? Mr. RIDGWAY . Voluntarily . That is correct , sir . Mr. STAGGERS . When you solicit proxies , do you not furnish the information that you have heard testified , that the Commission would require ...
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