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 37
Página 63
... obligations or interests , and therefore potential conflicts of obligation or interest . For example , if the broker - dealer represented on the board has been a managing underwriter in the flotation of a company's securities , obligations ...
... obligations or interests , and therefore potential conflicts of obligation or interest . For example , if the broker - dealer represented on the board has been a managing underwriter in the flotation of a company's securities , obligations ...
Página 64
... obligations may arise and the potentiality for con- flict with the director's obligation to his corporation and its stock- holders inevitably widens . The nub of the difficulty is the use of inside information . It is well established ...
... obligations may arise and the potentiality for con- flict with the director's obligation to his corporation and its stock- holders inevitably widens . The nub of the difficulty is the use of inside information . It is well established ...
Página 182
... obligation to avoid exaggerations and misunderstandings of what the actualities are . While it would be unfair to suggest that the Exchange has been un- mindful of its substantive obligations to the people it invites to deal with its ...
... obligation to avoid exaggerations and misunderstandings of what the actualities are . While it would be unfair to suggest that the Exchange has been un- mindful of its substantive obligations to the people it invites to deal with 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