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
... deal with , first , a very general introduction in chapter I of the nature of the study and gen- eral data about the securities markets as a background for the sub- stantive chapters . In chapter II we get into the all - important , I ...
... deal with , first , a very general introduction in chapter I of the nature of the study and gen- eral data about the securities markets as a background for the sub- stantive chapters . In chapter II we get into the all - important , I ...
Página 106
... deal not only with customers who are exclusively within a State , but he must deal exclu- sively in securities originating in the State . Information obtained in the course of investigations indicates that intrastate brokers and dealers ...
... deal not only with customers who are exclusively within a State , but he must deal exclu- sively in securities originating in the State . Information obtained in the course of investigations indicates that intrastate brokers and dealers ...
Página 1348
... deal with equity securities ? Does this section deal with equity securities ? Mr. LOOMIS . Yes , sir . Mr. DINGELL . You have not been discussing equity securities then , have you ? Mr. LOOMIS . I would think so . Our power to reach ...
... deal with equity securities ? Does this section deal with equity securities ? Mr. LOOMIS . Yes , sir . Mr. DINGELL . You have not been discussing equity securities then , have you ? Mr. LOOMIS . I would think so . Our power to reach ...
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