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 92
Página 12
United States. Securities and Exchange Commission. future role " for the Exchange . With limited reservations in two in- stances which are footnoted below , we agree with these recommenda- tions.1 2 Early in 1962 the Division of Trading ...
United States. Securities and Exchange Commission. future role " for the Exchange . With limited reservations in two in- stances which are footnoted below , we agree with these recommenda- tions.1 2 Early in 1962 the Division of Trading ...
Página 136
United States. Securities and Exchange Commission. 11. Virtually all of the institutions had trading or order depart- ments which retained control over the details of executing purchases and sales of stocks . These normally had limited ...
United States. Securities and Exchange Commission. 11. Virtually all of the institutions had trading or order depart- ments which retained control over the details of executing purchases and sales of stocks . These normally had limited ...
Página 186
United States. Securities and Exchange Commission. such recommendations or adaptations as may be found ap- propriate . 2. The Exchange should ... MARKETS tution Part E The Pacific Coast Stock Exchange as a self-regulatory institution.
United States. Securities and Exchange Commission. such recommendations or adaptations as may be found ap- propriate . 2. The Exchange should ... MARKETS tution Part E The Pacific Coast Stock Exchange as a self-regulatory institution.
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