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 71
Página 463
... specialist to deposit with the Exchange one share of each unlisted security in which he is registered . Requires a specialist to pay a $ 200 annual registration fee . Permits a specialist to employ clerks . Prohibits a specialist from ...
... specialist to deposit with the Exchange one share of each unlisted security in which he is registered . Requires a specialist to pay a $ 200 annual registration fee . Permits a specialist to employ clerks . Prohibits a specialist from ...
Página 521
... specialist's post at all times . ( 2 ) He must maintain fair and orderly markets in the stocks in which he specializes by buying and selling for his own account whenever there is a ... specialist or specialist INVESTOR PROTECTION 521.
... specialist's post at all times . ( 2 ) He must maintain fair and orderly markets in the stocks in which he specializes by buying and selling for his own account whenever there is a ... specialist or specialist INVESTOR PROTECTION 521.
Página 522
... specialist or specialist unit have a minimum capital of $ 50,000 or an amount sufficient to enable the specialist to carry ten trading units in each security in which he is registered , whichever is higher . This requirement would apply ...
... specialist or specialist unit have a minimum capital of $ 50,000 or an amount sufficient to enable the specialist to carry ten trading units in each security in which he is registered , whichever is higher . This requirement would apply ...
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