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 27
Página 38
... examination . The examination which it . adopted , and a more recent extension of its examination program to include proprietors , reveals an effort to raise standards in the area of competence . Yet it remains true that the authorities ...
... examination . The examination which it . adopted , and a more recent extension of its examination program to include proprietors , reveals an effort to raise standards in the area of competence . Yet it remains true that the authorities ...
Página 42
... examination , and to be supplied on a minimal basis . The self - regulatory agencies for the most part take a neutral attitude toward training programs . Apart from the Philadelphia- Baltimore - Washington Exchange , which uses a review ...
... examination , and to be supplied on a minimal basis . The self - regulatory agencies for the most part take a neutral attitude toward training programs . Apart from the Philadelphia- Baltimore - Washington Exchange , which uses a review ...
Página 47
... examination . Present examinations and examination programs can and should be considerably improved , refined , and coordinated . The standard examination should cover a core of basic subjects for salesmen , supervisors , and principals ...
... examination . Present examinations and examination programs can and should be considerably improved , refined , and coordinated . The standard examination should cover a core of basic subjects for salesmen , supervisors , and principals ...
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