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 26
Página 163
... ( MUTUAL FUNDS ) [ Part A ( Introduction ) briefly describes the structure of the mutual fund industry , outlines the growth of the industry since the enact- ment of the Investment Company Act of 1940 , and delineates the area of inquiry ...
... ( MUTUAL FUNDS ) [ Part A ( Introduction ) briefly describes the structure of the mutual fund industry , outlines the growth of the industry since the enact- ment of the Investment Company Act of 1940 , and delineates the area of inquiry ...
Página 164
... mutual fund shares . The large- and medium - sized retail sales organizations which have grown up in the mutual fund industry are characterized by a particu- larly high turnover of salesmen . The heavy turnover requires them to engage ...
... mutual fund shares . The large- and medium - sized retail sales organizations which have grown up in the mutual fund industry are characterized by a particu- larly high turnover of salesmen . The heavy turnover requires them to engage ...
Página 173
... mutual fund in- dustry is unique . The economies of the volume of securities trans- actions generated by the mass purchasing power of the funds for the most part are of minor benefit to the funds themselves . The primary beneficiaries ...
... mutual fund in- dustry is unique . The economies of the volume of securities trans- actions generated by the mass purchasing power of the funds for the most part are of minor benefit to the funds themselves . The primary beneficiaries ...
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