Report of special study of securities markets of the Securities and Exchange Commission, Volumen4U.S. Government Printing Office, 1968 |
Términos y frases comunes
activities American Stock Exchange amount assets association bank board of governors broker broker-dealers chairman collateral Commission Commission's contractual plan buyers contractual plan purchasers convertible bonds customers dealers discussed distribution enforcement examination Exchange Act Exchange's filed floor trading front-end load Gilligan income indicated industry initial insider trading investment adviser involved less listed stocks loans margin margin calls market value member firms membership ment mutual fund investors mutual fund shares NASD net asset value NYSE organizations over-the-counter payments percent percentage period persons planholders portfolio practices principal underwriter procedures prospective questionnaire recommendations redeemed redemption regular account regulation regulatory responsibility rules sales charge sales load sales representatives salesmen self-regulation selling Special Study specialist staff statement supervision survey tion transactions unlisted unregulated lenders violations voluntary plans Wharton School York Stock Exchange