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 81
Página 213
... continue unlisted trading privileges for securities which were admitted to trading on such exchange before March 1 ... continue only so long as such securities are listed and registered for trading on another securities exchange . Since ...
... continue unlisted trading privileges for securities which were admitted to trading on such exchange before March 1 ... continue only so long as such securities are listed and registered for trading on another securities exchange . Since ...
Página 342
... continue to serve the investing public . CONCLUSION In conclusion , I would like to return for a moment to the subject of self - regulation . The Special Study and the resulting legislative proposals reaffirm the wisdom of Congress in ...
... continue to serve the investing public . CONCLUSION In conclusion , I would like to return for a moment to the subject of self - regulation . The Special Study and the resulting legislative proposals reaffirm the wisdom of Congress in ...
Página 1167
... continuing to be part of the Net Capital of the continuing or succes- sor firm . Provisions in a deceased partner's Will permitting executors to continue - a partner's capital interest at the risk of the business should not be relied ...
... continuing to be part of the Net Capital of the continuing or succes- sor firm . Provisions in a deceased partner's Will permitting executors to continue - a partner's capital interest at the risk of the business should not be relied ...
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