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 52
Página 179
... matters . The full - time staff is re- sponsible for administering the Exchange and is generally of ade- quate size and quality . With regard to regulation of members ' and member firms ' conduct off the floor , the staff has sufficient ...
... matters . The full - time staff is re- sponsible for administering the Exchange and is generally of ade- quate size and quality . With regard to regulation of members ' and member firms ' conduct off the floor , the staff has sufficient ...
Página 199
... matters of regulation while in the case of the NASD it is given that power only concerning organizational matters ; that exchanges are not required to file rule changes with the Commission before they become effective while the NASD ...
... matters of regulation while in the case of the NASD it is given that power only concerning organizational matters ; that exchanges are not required to file rule changes with the Commission before they become effective while the NASD ...
Página 202
... matters ( secs . 10 and 11 ) and to amend or supplement exchanges ' rules as to other matters to assure fair dealing and protection of investors ( sec . 19 ( b ) ) , has no direct counterpart in respect of over - the - counter markets ...
... matters ( secs . 10 and 11 ) and to amend or supplement exchanges ' rules as to other matters to assure fair dealing and protection of investors ( sec . 19 ( b ) ) , has no direct counterpart in respect of over - the - counter markets ...
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