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 91
Página 147
... important byproduct of legislation extending the protec- tions of sections 13 , 14 , and 16 of the Exchange Act to investors in over - the - counter markets ( see ch . IX ) would be to remove what is now an artificial barrier to ...
... important byproduct of legislation extending the protec- tions of sections 13 , 14 , and 16 of the Exchange Act to investors in over - the - counter markets ( see ch . IX ) would be to remove what is now an artificial barrier to ...
Página 177
... important as an agency of self - regulation not only because of its outstanding importance as a securities market but also because of the dominant position of its membership in the entire securities business . Thus , the quantity and ...
... important as an agency of self - regulation not only because of its outstanding importance as a securities market but also because of the dominant position of its membership in the entire securities business . Thus , the quantity and ...
Página 186
... important regu- latory and administrative functions . Disciplinary and policy matters are channeled through the committees whose decisions are generally adopted by the board , whereas the paid staff occupies a less important position in ...
... important regu- latory and administrative functions . Disciplinary and policy matters are channeled through the committees whose decisions are generally adopted by the board , whereas the paid staff occupies a less important position in ...
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