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 127
... important reliance on self - regulation rests on two principal premises : First , self - regulation provides an alternative to more pervasive direct control by government , which would be expensive to the taxpayers and burdensome to the ...
... important reliance on self - regulation rests on two principal premises : First , self - regulation provides an alternative to more pervasive direct control by government , which would be expensive to the taxpayers and burdensome to the ...
Página 136
... important was the idea that , after 30 years and in light of the significant changes in the markets , a broad study was essential if only to explore and evaluate the many new develop- ments , in the depth and with the precision that a ...
... important was the idea that , after 30 years and in light of the significant changes in the markets , a broad study was essential if only to explore and evaluate the many new develop- ments , in the depth and with the precision that a ...
Página 324
... important today , and I do not see why they were not covered by the Study if they were important . You say that they were not covered by the Study . Then we want to know why , because , after all , the Congress did vote the money . If ...
... important today , and I do not see why they were not covered by the Study if they were important . You say that they were not covered by the Study . Then we want to know why , because , after all , the Congress did vote the money . If ...
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