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 83
Página 374
... YORK STOCK EXCHANGE , New York , N.Y. , December 19 , 1963 . Hon . HARLEY O. STAGGERS , Chairman , Subcommittee on Commerce and Finance , Committee on Interstate and Foreign Commerce , House of Representatives , Washington , D.C. DEAR ...
... YORK STOCK EXCHANGE , New York , N.Y. , December 19 , 1963 . Hon . HARLEY O. STAGGERS , Chairman , Subcommittee on Commerce and Finance , Committee on Interstate and Foreign Commerce , House of Representatives , Washington , D.C. DEAR ...
Página 639
... York Stock Exchange where , if they imposed a penalty of sus- pension against one of their members , that we could make the suspen- sion automatic for our purposes . To go back to your last specific question , we don't enforce exchange ...
... York Stock Exchange where , if they imposed a penalty of sus- pension against one of their members , that we could make the suspen- sion automatic for our purposes . To go back to your last specific question , we don't enforce exchange ...
Página 1243
... York Stock Exchanges rules . On the next day , Tuesday , November 19 , Haupt borrowed another $ 29 million in day loans from four banks , repaid the overnight loans , and received back the securities which had been pledged the night ...
... York Stock Exchanges rules . On the next day , Tuesday , November 19 , Haupt borrowed another $ 29 million in day loans from four banks , repaid the overnight loans , and received back the securities which had been pledged the night ...
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