Report of special study of securities markets of the Securities and Exchange Commission, Volumen5U.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 1-3 de 68
Página 77
... Exchange Act operate , or can and should be made to operate , to provide a reservoir of reliable , reasonably current , publicly available data about an issuer . Certain of the study's recommendations in chapter IX are aimed at assuring ...
... Exchange Act operate , or can and should be made to operate , to provide a reservoir of reliable , reasonably current , publicly available data about an issuer . Certain of the study's recommendations in chapter IX are aimed at assuring ...
Página 149
... Exchange Act . ] PART B. PROTECTIONS FOR INVESTORS IN LISTED AND UNLISTED SECURITIES Disclosure is the cornerstone of Federal securities regulation ; it is the great safeguard that governs the conduct of corporate managements in many of ...
... Exchange Act . ] PART B. PROTECTIONS FOR INVESTORS IN LISTED AND UNLISTED SECURITIES Disclosure is the cornerstone of Federal securities regulation ; it is the great safeguard that governs the conduct of corporate managements in many of ...
Página 200
United States. Securities and Exchange Commission. To prevent recurrence of the kind of self - regulatory breakdown that took place on the Amex in recent years , the Commission must re- examíne and strengthen its total concept and ...
United States. Securities and Exchange Commission. To prevent recurrence of the kind of self - regulatory breakdown that took place on the Amex in recent years , the Commission must re- examíne and strengthen its total concept and ...
Contenido
Preface | 1 |
VII | 7 |
Qualifications of persons in the securities industry | 37 |
Otras 8 secciones no mostradas
Términos y frases comunes
action activities American Stock Exchange Amex appropriate areas basis board of governors broker chapter commission rate Commission's committees concludes and recommends consideration contractual plans controls convertible bonds dealer disciplinary disclosure effective enforcement Exchange Act exchange markets Exchange's execution existing Federal floor trading front-end load function important individual insider trading institutions interdealer investment advisers investment company investors involved issuers issues limited listed securities member firms ment mutual fund NASD nonmember NYSE odd-lot over-the-counter markets over-the-counter securities participation percent present principal problems procedures public interest purchase quotation system regional exchanges registered regulation regulatory relation respect responsibility retail role rules salesmen section 11(b securities business securities industry securities markets self-regulation self-regulatory agencies selling practices short sales short selling Special Study concludes specialists staff standards substantial surveillance tion trading markets transactions U.S. Steel underwriters wholesale York Stock Exchange