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 23
... chapters . In chapter II we get into the all - important , I think , question of the qualifications of people entering the business . In chapter III , which is one of those now transmitted , we get into some of the important aspects of ...
... chapters . In chapter II we get into the all - important , I think , question of the qualifications of people entering the business . In chapter III , which is one of those now transmitted , we get into some of the important aspects of ...
Página 351
... chapter VI.E ( 2 ) ( b ) . 2. Exchange regulating the odd lot differential , chapter VI.E ( 2 ) ( a ) . 3. Exchange adopting rules with respect to handling of odd lot orders and odd lot dealers offsetting round - lot transactions , chapter ...
... chapter VI.E ( 2 ) ( b ) . 2. Exchange regulating the odd lot differential , chapter VI.E ( 2 ) ( a ) . 3. Exchange adopting rules with respect to handling of odd lot orders and odd lot dealers offsetting round - lot transactions , chapter ...
Página 693
... Chapter II F.4-8 and 10-12— “ Qualifications for Persons in the Industry " Pt . Chapter III B.1- " Supervision of Selling Activities " No. 95 1 , p . 160-1-2 Chapter III B.2- " Surveillance and Enforcement Procedures " Chapter III B.3 ...
... Chapter II F.4-8 and 10-12— “ Qualifications for Persons in the Industry " Pt . Chapter III B.1- " Supervision of Selling Activities " No. 95 1 , p . 160-1-2 Chapter III B.2- " Surveillance and Enforcement Procedures " Chapter III B.3 ...
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