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 33
Página 67
... companies with the opportunity to raise funds for legitimate corporate purposes . It also provided an opportunity , however , to sell stock in companies that in a different climate would not have been deemed ready or appropriate for ...
... companies with the opportunity to raise funds for legitimate corporate purposes . It also provided an opportunity , however , to sell stock in companies that in a different climate would not have been deemed ready or appropriate for ...
Página 68
... companies with access to the capital markets . Other firms , under pressure from custo- mers and salesmen hungry for ... companies . Thus , the weakest companies financially had to carry the heaviest burden and the investor in these ...
... companies with access to the capital markets . Other firms , under pressure from custo- mers and salesmen hungry for ... companies . Thus , the weakest companies financially had to carry the heaviest burden and the investor in these ...
Página 136
... companies to reward broker - dealers who bring ( as agent for the issuer ) desirable private placement issues to the ... companies . 18. Investment companies have noticeably higher stock turnover rates than other institutions . The ...
... companies to reward broker - dealers who bring ( as agent for the issuer ) desirable private placement issues to the ... companies . 18. Investment companies have noticeably higher stock turnover rates than other institutions . 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