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, Bills to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 2934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securites, to Provide for Improved Qualification and Disciplinary Procedures for Registered Brokers and Dealers, and for Other Purposes ...U.S. Government Printing Office, 1964 - 1418 páginas |
Dentro del libro
Resultados 1-5 de 100
Página 679
... problem , it will give the Commission needed flexibility where none exists today to vary prospectus delivery periods according to circumstances . The most important function of the prospectus is to inform prospective investors , and it ...
... problem , it will give the Commission needed flexibility where none exists today to vary prospectus delivery periods according to circumstances . The most important function of the prospectus is to inform prospective investors , and it ...
Página 680
... problem of raising standards must go to the individual . It is only by raising the standards , for instance in our own firm , of the individuals that we have with us which permits us to get the whole organization up to the standard ...
... problem of raising standards must go to the individual . It is only by raising the standards , for instance in our own firm , of the individuals that we have with us which permits us to get the whole organization up to the standard ...
Página 681
... problem is that in a broad country such as this , and with the great diversity of people and firms that there are in this industry , it is necessary for somebody to hold all of the firms up to such standards and all of the individuals ...
... problem is that in a broad country such as this , and with the great diversity of people and firms that there are in this industry , it is necessary for somebody to hold all of the firms up to such standards and all of the individuals ...
Página 685
... problem in the securities busi- ness . The position that we take is that suitability is something that is almost impossible to write into rigid law . We do not say that we do not believe suitability to be important or that we disregard ...
... problem in the securities busi- ness . The position that we take is that suitability is something that is almost impossible to write into rigid law . We do not say that we do not believe suitability to be important or that we disregard ...
Página 686
... problem . The mistake , I think , that is made in the special report , and perhaps the mistake that is made by those who are unfamiliar with investing and the problems that are involved in it is that by just writing a rule and saying ...
... problem . The mistake , I think , that is made in the special report , and perhaps the mistake that is made by those who are unfamiliar with investing and the problems that are involved in it is that by just writing a rule and saying ...
Términos y frases comunes
accounting additional adopted amendment American Stock Exchange amount annual statement form assets Association of Insurance banks bill broker broker-dealers capital CARY Chairman committee commodity Congress corporation CURTIN customers D.C. DEAR dealer December 31 DINGELL disclosure examination Exchange Commission exemption Federal filed financial statements Foreign Commerce FUNSTON future contracts GRADY included industry insider trading Insurance Co Insurance Commissioners interest Interstate and Foreign investment investors issuer issues KEITH legislation liability loans matter member firms membership ment merger mutual fund NAIC NASD National Association November 22 OREN HARRIS over-the-counter panies percent policyholders problem procedures proposed protection provisions proxy purchased question recommendations record registered regulation regulatory Representatives respect responsibility rules Securities and Exchange Securities Exchange Act selling Senate shareholders shares sold Special Study specialist STAGGERS stock insurance companies stockholder information supplement tion trading transactions Washington York Stock Exchange