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 77
Página 38
... operations and investment advisory and selling practices require strengthening ; the Exchange itself has recognized this in its initiation of new programs . The report discloses a failure of regulation over odd - lot dealers and raises ...
... operations and investment advisory and selling practices require strengthening ; the Exchange itself has recognized this in its initiation of new programs . The report discloses a failure of regulation over odd - lot dealers and raises ...
Página 363
... operations in 1965 . These plans do not include automation of the odd - lot operation nor are we in a position at this time to determine the feasibility of automating that operation . They do include provision for members obtaining last ...
... operations in 1965 . These plans do not include automation of the odd - lot operation nor are we in a position at this time to determine the feasibility of automating that operation . They do include provision for members obtaining last ...
Página 975
... operations . The annual reports and periodic examina- tions of life companies to and by State regulatory agencies are avail- able to every stockholder . These disclose the minutest details of the company's operation . In addition , all ...
... operations . The annual reports and periodic examina- tions of life companies to and by State regulatory agencies are avail- able to every stockholder . These disclose the minutest details of the company's operation . In addition , all ...
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