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 58
Página 118
... protection of depositors . These objectives neither utilize the same tools nor achieve the same ends as investor protection . The purpose of disclosure is to place the investor in a position to make an informed judgment on the merits of ...
... protection of depositors . These objectives neither utilize the same tools nor achieve the same ends as investor protection . The purpose of disclosure is to place the investor in a position to make an informed judgment on the merits of ...
Página 415
... protection and has permitted the creation of a double standard . It is not proposed that all minute rules , regulations , and practices instituted by listed markets be imposed arbitrarily on the third market for the mere sake of ...
... protection and has permitted the creation of a double standard . It is not proposed that all minute rules , regulations , and practices instituted by listed markets be imposed arbitrarily on the third market for the mere sake of ...
Página 757
... protection of policyholders , while the purpose of the proposed legislation and the general respon- sibility of the SEC is to protect the investors . Mr. Cary , in his prepared statement presented to you on November 19 , 1963 , quoted ...
... protection of policyholders , while the purpose of the proposed legislation and the general respon- sibility of the SEC is to protect the investors . Mr. Cary , in his prepared statement presented to you on November 19 , 1963 , quoted ...
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