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 62
Página 30
... changes in methods , practices , controls , and standards . A basic objective of the Special Study was an evaluation , in the light of both quantitative and qualitative changes , of the theories and mechanics of direct governmental ...
... changes in methods , practices , controls , and standards . A basic objective of the Special Study was an evaluation , in the light of both quantitative and qualitative changes , of the theories and mechanics of direct governmental ...
Página 148
... changes in market patterns and also to con- sider whether trading or regulatory mechanisms need to be adapted to new conditions . The currents of change are sometimes in the same direction , some- times in opposite directions , and ...
... changes in market patterns and also to con- sider whether trading or regulatory mechanisms need to be adapted to new conditions . The currents of change are sometimes in the same direction , some- times in opposite directions , and ...
Página 200
... changes prior to adoption . The NYSE in 1956 formally agreed to give the Commission notice of material changes at least 2 weeks before public announcement , except in " unusual circumstances . " For the past year , moreover , both the ...
... changes prior to adoption . The NYSE in 1956 formally agreed to give the Commission notice of material changes at least 2 weeks before public announcement , except in " unusual circumstances . " For the past year , moreover , both the ...
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