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 48
Página 59
... York Stock Exchange , instead of indiscriminately encouraging its members to advertise their research and advisory facilities , should adopt standards governing the representations its members may make in this regard , and the NASD ...
... York Stock Exchange , instead of indiscriminately encouraging its members to advertise their research and advisory facilities , should adopt standards governing the representations its members may make in this regard , and the NASD ...
Página 92
... York odd - lot firms and the dual members . There has indeed been some competition between the two New York firms in the rendering of services such as providing current market information , liberally adjusting transactions to correct ...
... York odd - lot firms and the dual members . There has indeed been some competition between the two New York firms in the rendering of services such as providing current market information , liberally adjusting transactions to correct ...
Página 179
United States. Securities and Exchange Commission. York or in offices throughout the country may be more sensitive to the public character of the Exchange and more cognizant of the needs of public investors , even though they have fewer ...
United States. Securities and Exchange Commission. York or in offices throughout the country may be more sensitive to the public character of the Exchange and more cognizant of the needs of public investors , even though they have fewer ...
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