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 74
Página 45
... INVESTMENT ADVICE Qualification standards for persons , other than salesmen as such , who are responsible for disseminating investment advice , whether through broker - dealers or through registered investment advisory or investment ...
... INVESTMENT ADVICE Qualification standards for persons , other than salesmen as such , who are responsible for disseminating investment advice , whether through broker - dealers or through registered investment advisory or investment ...
Página 46
... investment advisers subject to Commission jurisdiction , the added cost of governmental super- vision should be passed on and directly borne by those in the industry who are not members of such a body , through fees or other assessments ...
... investment advisers subject to Commission jurisdiction , the added cost of governmental super- vision should be passed on and directly borne by those in the industry who are not members of such a body , through fees or other assessments ...
Página 59
... investment advice , even as a method of sales promotion , is clearly beneficial to the investment community at large . It can be assisted by governmental measures which may clarify some cloudy areas of legal responsibility , and ...
... investment advice , even as a method of sales promotion , is clearly beneficial to the investment community at large . It can be assisted by governmental measures which may clarify some cloudy areas of legal responsibility , and ...
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