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 73
Página 11
... areas . " This con- clusion obviously does not minimize in any way the need promptly to remedy the disclosed inadequacies , a need more critical as increased reliance is placed on the self - regulatory agencies - which this report and ...
... areas . " This con- clusion obviously does not minimize in any way the need promptly to remedy the disclosed inadequacies , a need more critical as increased reliance is placed on the self - regulatory agencies - which this report and ...
Página 198
... areas the self- regulatory bodies can promote adherence to ethical standards beyond those which could be established as a matter of law . On the other hand , self - regulation inherently has certain disad- vantages and limitations as ...
... areas the self- regulatory bodies can promote adherence to ethical standards beyond those which could be established as a matter of law . On the other hand , self - regulation inherently has certain disad- vantages and limitations as ...
Página 203
... areas in which reliance is placed upon them , ( ii ) regulation of such exchanges and associations in areas where they themselves are operating in a quasi - public - utility capacity , e.g. , in their own operation of market mechanisms ...
... areas in which reliance is placed upon them , ( ii ) regulation of such exchanges and associations in areas where they themselves are operating in a quasi - public - utility capacity , e.g. , in their own operation of market mechanisms ...
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