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 80
Página 317
... customers ' shall mean customers entitled to immediate possession of such securities without the payment of any sum to the stockbroker ; the same person may be a cash customer with reference to certain securities and not a cash customer ...
... customers ' shall mean customers entitled to immediate possession of such securities without the payment of any sum to the stockbroker ; the same person may be a cash customer with reference to certain securities and not a cash customer ...
Página 1247
... customers ' securities regularly nor do they hold securities in safe- keeping for as large a proportion of their customers as do exchange firms . Moreover , over - the - counter dealers do not normally hypothecate or lend customers ...
... customers ' securities regularly nor do they hold securities in safe- keeping for as large a proportion of their customers as do exchange firms . Moreover , over - the - counter dealers do not normally hypothecate or lend customers ...
Página 1248
... customers ' free credit balances those amounts of cash owed by brokers to customers which the customers have an immediate unre- stricted right to withdraw . These balances are not required to be segregated and very large amounts of ...
... customers ' free credit balances those amounts of cash owed by brokers to customers which the customers have an immediate unre- stricted right to withdraw . These balances are not required to be segregated and very large amounts of ...
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