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 34
Página 39
... concerning the nature and scope of a firm's business and concerning some categories of its personnel for whom minimum standards must be established , but about whom the regu- latory agencies now have no readily accessible information ...
... concerning the nature and scope of a firm's business and concerning some categories of its personnel for whom minimum standards must be established , but about whom the regu- latory agencies now have no readily accessible information ...
Página 46
... concerning ( a ) major activi- ties engaged in or to be engaged in ; ( b ) exchange and NASD mem- berships ; ( c ) number and location of branch offices ; ( d ) clearing firms , correspondent firms , and wire connections ; ( e ) size ...
... concerning ( a ) major activi- ties engaged in or to be engaged in ; ( b ) exchange and NASD mem- berships ; ( c ) number and location of branch offices ; ( d ) clearing firms , correspondent firms , and wire connections ; ( e ) size ...
Página 143
... concerning the third market . Correction of this deficiency is an indispensable pre- requisite to understanding and evaluating this market . As a basis for the gathering of essential information concerning the off - board trading of ...
... concerning the third market . Correction of this deficiency is an indispensable pre- requisite to understanding and evaluating this market . As a basis for the gathering of essential information concerning the off - board trading of ...
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