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 43
... individual salesmen . It would have the addi- tional advantages of eliminating some of the present duplication and of imposing on each salesman a direct individual responsibility for his activities . Such a uniform national system must ...
... individual salesmen . It would have the addi- tional advantages of eliminating some of the present duplication and of imposing on each salesman a direct individual responsibility for his activities . Such a uniform national system must ...
Página 46
... individual authorized to handle dis- cretionary accounts ; and ( h ) the prior experience of any such individual , supervisor , or manager . Every registered investment adviser should be required to supply and keep current informa- tion ...
... individual authorized to handle dis- cretionary accounts ; and ( h ) the prior experience of any such individual , supervisor , or manager . Every registered investment adviser should be required to supply and keep current informa- tion ...
Página 47
... individuals in certain crucial roles . The individuals for whom there should be an experience require- ment include at least one principal in each registered firm and , if other than such principal , the individual designated as being ...
... individuals in certain crucial roles . The individuals for whom there should be an experience require- ment include at least one principal in each registered firm and , if other than such principal , the individual designated as being ...
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