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 538
... additional regular memberships by certain associate members ( 4 ) Subject to the conditions hereinafter in this subdivision ( 4 ) specified , the Exchange shall offer additional regular memberships for sale , within the limitations and ...
... additional regular memberships by certain associate members ( 4 ) Subject to the conditions hereinafter in this subdivision ( 4 ) specified , the Exchange shall offer additional regular memberships for sale , within the limitations and ...
Página 558
... additional shares prior to issuance . ( Use printed Listing Form N supplied by the Exchange . ) O. CONTRACT WITH TRANSFER AGENT . One copy of contract of each transfer agent rela- tive to the issuance of additional shares . ( Use ...
... additional shares prior to issuance . ( Use printed Listing Form N supplied by the Exchange . ) O. CONTRACT WITH TRANSFER AGENT . One copy of contract of each transfer agent rela- tive to the issuance of additional shares . ( Use ...
Página 873
... additional costs will be involved . None of us is prepared to give you an accurate estimate of the amount of these additional costs , but no matter what the amount , additional costs are to be avoided if possible . Most insurance ...
... additional costs will be involved . None of us is prepared to give you an accurate estimate of the amount of these additional costs , but no matter what the amount , additional costs are to be avoided if possible . Most insurance ...
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