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 245
... involved reimbursed all per- sons who had been damaged in connection with it . It was the result of activities by two or three branch offices all located in a very narrow area in California . Mr. KEITH . As I read it here , it is much ...
... involved reimbursed all per- sons who had been damaged in connection with it . It was the result of activities by two or three branch offices all located in a very narrow area in California . Mr. KEITH . As I read it here , it is much ...
Página 428
... involved . Investigation Assignments When it appears , after preliminary investigation , that a substantial violation may have occurred , an Investigation Assignment is opened with a memorandum outlining briefly the origin , nature and ...
... involved . Investigation Assignments When it appears , after preliminary investigation , that a substantial violation may have occurred , an Investigation Assignment is opened with a memorandum outlining briefly the origin , nature and ...
Página 811
... involved with such bureaus as the SEC , we believe that a mandatory procedure should be established so that : 1. Any involved concern or individual will be advised of the contents of any bureau press release before such press release is ...
... involved with such bureaus as the SEC , we believe that a mandatory procedure should be established so that : 1. Any involved concern or individual will be advised of the contents of any bureau press release before such press release is ...
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