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 45
Página 55
... agencies and the Commission . These obligations might include such mat- ters as : actually consulting available officially filed data prior to recommending or selling specific securities ; furnishing copies to customers in appropriate ...
... agencies and the Commission . These obligations might include such mat- ters as : actually consulting available officially filed data prior to recommending or selling specific securities ; furnishing copies to customers in appropriate ...
Página 66
... agencies would seem to have an ideal milieu for perform- ing their role of elevating and guiding conduct of their ... agencies , with support from governmental agencies where violations of legal duties are involved , can be instrumental ...
... agencies would seem to have an ideal milieu for perform- ing their role of elevating and guiding conduct of their ... agencies , with support from governmental agencies where violations of legal duties are involved , can be instrumental ...
Página 204
... agencies administered its entry and qualification requirements with little regard for the stand- ards of the other bodies . In July 1963 , three of the major institutions , the NASD , NYSE , and Amex , established a joint testing ...
... agencies administered its entry and qualification requirements with little regard for the stand- ards of the other bodies . In July 1963 , three of the major institutions , the NASD , NYSE , and Amex , established a joint testing ...
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