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 1161
... Amount of charge , " the excess of market value included in item ( 5 ) , over the principal amount or over the market value less the applicable percentage for bonds which do not have a conversion or exchange feature , whichever amount ...
... Amount of charge , " the excess of market value included in item ( 5 ) , over the principal amount or over the market value less the applicable percentage for bonds which do not have a conversion or exchange feature , whichever amount ...
Página 1162
... amount determined in accordance with such percentage , reduced by any amounts to be paid or increased by any amounts to be received in connection with such exchange or conversion , shall be included in item ( 3 ) or used to reduce the ...
... amount determined in accordance with such percentage , reduced by any amounts to be paid or increased by any amounts to be received in connection with such exchange or conversion , shall be included in item ( 3 ) or used to reduce the ...
Página 1164
... amount of creat granted . After the amount of credit granted has been determined for each customer's account , the amounts are totalled for accounts which have net long positions and separately for accounts which have net short ...
... amount of creat granted . After the amount of credit granted has been determined for each customer's account , the amounts are totalled for accounts which have net long positions and separately for accounts which have net short ...
Contenido
Hearings held on Page 883 9383 2 NE BERT | 2 |
Communications submitted for the recordContinued | 5 |
Text | 43 |
Derechos de autor | |
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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