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 482
... Selling 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 ...
... Selling 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 ...
Página 631
... selling practices of underwriters and dealers . In this latter category the study gives as an example the association's policy against " selling dividends " to discourage the practice of representing to investors that they gain an ...
... selling practices of underwriters and dealers . In this latter category the study gives as an example the association's policy against " selling dividends " to discourage the practice of representing to investors that they gain an ...
Página 693
... SELLING PRACTICE RECOMMENDATIONS The following are the selling practice recommendations which are analyzed in this memorandum : House Document Chapter II F.4-8 and 10-12— “ Qualifications for Persons in the Industry " Pt . Chapter III B ...
... SELLING PRACTICE RECOMMENDATIONS The following are the selling practice recommendations which are analyzed in this memorandum : House Document Chapter II F.4-8 and 10-12— “ Qualifications for Persons in the Industry " Pt . Chapter III B ...
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