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 89
Página 230
... rules with respect to the qualifications of members and persons associated with members . Section 7 ( a ) ( 4 ) , amending section 15A ( b ) ( 9 ) —Requirement of rules requiring discipline of persons associated with a member Paragraph ...
... rules with respect to the qualifications of members and persons associated with members . Section 7 ( a ) ( 4 ) , amending section 15A ( b ) ( 9 ) —Requirement of rules requiring discipline of persons associated with a member Paragraph ...
Página 392
... rules of the exchanges and of the securities associations for the protection of investors . In this connection I am sure that you already have given attention to the Commission's expressions and to the findings of the Commission's Study ...
... rules of the exchanges and of the securities associations for the protection of investors . In this connection I am sure that you already have given attention to the Commission's expressions and to the findings of the Commission's Study ...
Página 426
... rules of conduct . In certain respects the rules of the Exchange are stronger than those of other exchanges and in recent months there has been a veritable flood of new provisions . Undoubtedly there are many areas where the substantive ...
... rules of conduct . In certain respects the rules of the Exchange are stronger than those of other exchanges and in recent months there has been a veritable flood of new provisions . Undoubtedly there are many areas where the substantive ...
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