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 38
Página 20
... deals with primary and secondary distributions of securities to the public , with particular emphasis on new issues and briefer review of other specific areas such as registration of seasoned issues , unregis- tered distributions ...
... deals with primary and secondary distributions of securities to the public , with particular emphasis on new issues and briefer review of other specific areas such as registration of seasoned issues , unregis- tered distributions ...
Página 39
... deal simply because they involve property other than securities . Particularly important in implementing the establishment of mini- mum standards , as well as for other regulatory purposes , is the revision of broker - dealer ...
... deal simply because they involve property other than securities . Particularly important in implementing the establishment of mini- mum standards , as well as for other regulatory purposes , is the revision of broker - dealer ...
Página 139
... deal directly with the market markers on the third market and do not require the services of a broker . Their market interest and trading receive no publicity . Their transactions , which tend to be large , are not likely to affect ...
... deal directly with the market markers on the third market and do not require the services of a broker . Their market interest and trading receive no publicity . Their transactions , which tend to be large , are not likely to affect ...
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