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 61
Página 60
... CUSTOMERS ' FUNDS AND SECURITIES Many broker - dealers perform banking and custodial functions in the course of which they have custody of , and use , customers ' assets of enormous value . The degree of dominion and control over cus ...
... CUSTOMERS ' FUNDS AND SECURITIES Many broker - dealers perform banking and custodial functions in the course of which they have custody of , and use , customers ' assets of enormous value . The degree of dominion and control over cus ...
Página 64
... customers , or has investment advisory clients , additional motivations and obligations may arise and the ... customers if it is not used , especially if the customers have been led to rely on the protection flowing from his close ...
... customers , or has investment advisory clients , additional motivations and obligations may arise and the ... customers if it is not used , especially if the customers have been led to rely on the protection flowing from his close ...
Página 69
... customers knew of their allotments , before the closing at which the managing underwriter remitted the proceeds of the offering to the issuer , and before customers received their stock certificates . Thus , the trading markets for new ...
... customers knew of their allotments , before the closing at which the managing underwriter remitted the proceeds of the offering to the issuer , and before customers received their stock certificates . Thus , the trading markets for new ...
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