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 208
... firms , were responsible for a much higher percentage of the offenses drawing the most severe penalties in disciplinary actions . During the period 1959-61 , the NASD expelled 105 firms . Of these 105 firms , 47 , or 44.8 percent , were ...
... firms , were responsible for a much higher percentage of the offenses drawing the most severe penalties in disciplinary actions . During the period 1959-61 , the NASD expelled 105 firms . Of these 105 firms , 47 , or 44.8 percent , were ...
Página 1101
... firm profiting perhaps through his activity . May I elaborate just a little bit further ? May I say do you not have two kinds of firms ? This man who is a specialist belongs to a firm of specialists . Mr. FUNSTON . Yes , sir . Mr. KEITH ...
... firm profiting perhaps through his activity . May I elaborate just a little bit further ? May I say do you not have two kinds of firms ? This man who is a specialist belongs to a firm of specialists . Mr. FUNSTON . Yes , sir . Mr. KEITH ...
Página 1233
... firms themselves bear such fees . A breakdown of the other fees paid by firms or classes of firms is not available , but the NASD estimates that during the current fiscal year , the total other fees collected by it will be about 60 ...
... firms themselves bear such fees . A breakdown of the other fees paid by firms or classes of firms is not available , but the NASD estimates that during the current fiscal year , the total other fees collected by it will be about 60 ...
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