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 |
Dentro del libro
Resultados 1-3 de 87
Página 378
... Material : .10 Information regarding market letters , research reports and sales litera- ture . The requirement for three - year retention of such material applies only to members and member organizations which prepared it for ...
... Material : .10 Information regarding market letters , research reports and sales litera- ture . The requirement for three - year retention of such material applies only to members and member organizations which prepared it for ...
Página 379
... material ( except lists of market quotations ) used by members or member organiza- tions on radio , television or public telephone market reports , or program material supplied to these media shall be retained by the firm for at least a ...
... material ( except lists of market quotations ) used by members or member organiza- tions on radio , television or public telephone market reports , or program material supplied to these media shall be retained by the firm for at least a ...
Página 1209
... material includes proxy statements , forms of proxy , or other soliciting material . Such material is fur- nished for the information of the Commission in connection with the annual re- port on form 10 - K . This proxy soliciting material ...
... material includes proxy statements , forms of proxy , or other soliciting material . Such material is fur- nished for the information of the Commission in connection with the annual re- port on form 10 - K . This proxy soliciting material ...
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