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 5
... practices : The heightened pub- lic participation in the securities market severely tested the adequacy of controls particularly in the area of selling practices and investment advice . The examples of sales techniques cited by the ...
... practices : The heightened pub- lic participation in the securities market severely tested the adequacy of controls particularly in the area of selling practices and investment advice . The examples of sales techniques cited by the ...
Página 482
... Practices Special Study Recommendation : The S.E.C. should adopt rules to facilitate and re - enforce controls over selling practices . Such rules should require that customer account cards include such information as investment goals ...
... Practices Special Study Recommendation : The S.E.C. should adopt rules to facilitate and re - enforce controls over selling practices . Such rules should require that customer account cards include such information as investment goals ...
Página 1300
... practices and retroactive adjustments of accounts . " ( a ) Any change in accounting principle or practice , or in the method of applying any accounting principle or practice , made during any period for which financial statements are ...
... practices and retroactive adjustments of accounts . " ( a ) Any change in accounting principle or practice , or in the method of applying any accounting principle or practice , made during any period for which financial statements are ...
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