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 79
Página 42
... NYSE , to provide advice concerning them , but to set no minimum standards for them ( other than the NYSE and Amex requirements of 6 months ' duration ) , and neither to approve nor disapprove any particular programs . The basic ...
... NYSE , to provide advice concerning them , but to set no minimum standards for them ( other than the NYSE and Amex requirements of 6 months ' duration ) , and neither to approve nor disapprove any particular programs . The basic ...
Página 90
... NYSE and Amex specialists and their firms should be prohibited from servicing the accounts of public customers , or receiving commissions on such accounts " introduced " by them at other firms . 8. No information is now publicly ...
... NYSE and Amex specialists and their firms should be prohibited from servicing the accounts of public customers , or receiving commissions on such accounts " introduced " by them at other firms . 8. No information is now publicly ...
Página 103
... NYSE members and nonmembers who are regional exchange members ( i.e. , sole members ) which permit NYSE members to reciprocate for commission business given them by the nonmember by referring other commission business ( often for stocks ...
... NYSE members and nonmembers who are regional exchange members ( i.e. , sole members ) which permit NYSE members to reciprocate for commission business given them by the nonmember by referring other commission business ( often for stocks ...
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