Report of special study of securities markets of the Securities and Exchange Commission, Volumen5U.S. Government Printing Office, 1963 |
Dentro del libro
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Página 41
... limited to floaters , and that no other securities salesmen are turned loose to sell their intricate merchandise to the investing public until the firms concerned have checked carefully into their back- grounds and also trained them ...
... limited to floaters , and that no other securities salesmen are turned loose to sell their intricate merchandise to the investing public until the firms concerned have checked carefully into their back- grounds and also trained them ...
Página 89
... limited price orders and variations thereof , and defining specialists ' ( and floor brokers ' ) respon- sibilities with respect to each type of order . ( b ) The existing ban against specialists ' accepting " not- held " orders should ...
... limited price orders and variations thereof , and defining specialists ' ( and floor brokers ' ) respon- sibilities with respect to each type of order . ( b ) The existing ban against specialists ' accepting " not- held " orders should ...
Página 194
... limited demands that can be made on individuals volunteering time away from their main business . ( e ) Its purpose of promoting voluntary compli- ance with ethical standards beyond the reach of formal regula- tion has limited its ...
... limited demands that can be made on individuals volunteering time away from their main business . ( e ) Its purpose of promoting voluntary compli- ance with ethical standards beyond the reach of formal regula- tion has limited its ...
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