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 30
Página 43
... direct licensing of securi- ties salesmen would eliminate the present lack of uniformity in qualification standards and would allow disciplinary proceedings to be brought against individual salesmen . It would have the addi- tional ...
... direct licensing of securi- ties salesmen would eliminate the present lack of uniformity in qualification standards and would allow disciplinary proceedings to be brought against individual salesmen . It would have the addi- tional ...
Página 50
... direct stimulus of the commission to the production of business still remains . Many firms increase this awareness by paying the salesman a larger percentage of all commissions in a month in which his total commission business exceeds a ...
... direct stimulus of the commission to the production of business still remains . Many firms increase this awareness by paying the salesman a larger percentage of all commissions in a month in which his total commission business exceeds a ...
Página 200
... direct and continuous aware- ness of actual happenings in the market place , stronger and more continuous liaison with each exchange as to its self - regulatory prob- lems , policies , and methods , and fuller and more systematic ...
... direct and continuous aware- ness of actual happenings in the market place , stronger and more continuous liaison with each exchange as to its self - regulatory prob- lems , policies , and methods , and fuller and more systematic ...
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