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 147
... examination for registered representatives . And in November 1962 the score required to pass the examination was upgraded so that an average of one- third of all individuals currently taking the examination fail . Under the old examination ...
... examination for registered representatives . And in November 1962 the score required to pass the examination was upgraded so that an average of one- third of all individuals currently taking the examination fail . Under the old examination ...
Página 1051
... examination amounted to $ 3,084,424.72 which is $ 26,321.09 less than reported in the company's annual statement . The net decrease was effected by changes in asset and liability items as follows : Company Examiners Surplus , increase ...
... examination amounted to $ 3,084,424.72 which is $ 26,321.09 less than reported in the company's annual statement . The net decrease was effected by changes in asset and liability items as follows : Company Examiners Surplus , increase ...
Página 1143
... examinations they are made at different times during the year than the pre- ceding year's examination . QUESTION 2. What type of financial examination is employed and what is its scope ? ( a ) Does the exchange make its own examinations ...
... examinations they are made at different times during the year than the pre- ceding year's examination . QUESTION 2. What type of financial examination is employed and what is its scope ? ( a ) Does the exchange make its own examinations ...
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