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 57
Página 13
... effective reg- ulation requires a larger staff - a direction in which the NASD has been moving during the last few years with increased responsibility and a reallocation of work among member participants in the government of the NASD ...
... effective reg- ulation requires a larger staff - a direction in which the NASD has been moving during the last few years with increased responsibility and a reallocation of work among member participants in the government of the NASD ...
Página 54
... effective enforcement of its rules . The Exchange has for some time been concerned about the limita- tions of the sources which it has had , and since 1955 has made sporadic efforts to determine other methods by which it could obtain ...
... effective enforcement of its rules . The Exchange has for some time been concerned about the limita- tions of the sources which it has had , and since 1955 has made sporadic efforts to determine other methods by which it could obtain ...
Página 72
... effective date to be deemed prima facie unrea- sonable ; ( b ) requiring that , again with respect to allotments resulting from solicitations or indications of interest prior to the effective date , certificates of stock be delivered or ...
... effective date to be deemed prima facie unrea- sonable ; ( b ) requiring that , again with respect to allotments resulting from solicitations or indications of interest prior to the effective date , certificates of stock be delivered or ...
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