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 25
Página 11
... performance of the Ex- change in many areas , including qualifications and net capital . Its disclosure and related requirements , some antedating the enactment of the Federal securities laws , represent a major contribution to in ...
... performance of the Ex- change in many areas , including qualifications and net capital . Its disclosure and related requirements , some antedating the enactment of the Federal securities laws , represent a major contribution to in ...
Página 84
... performance among specialists . The data collected concerning the market break demonstrate that the tick test is an inadequate measure of stabilization , since it fails to take account of specialists ' trading in relation to the overall ...
... performance among specialists . The data collected concerning the market break demonstrate that the tick test is an inadequate measure of stabilization , since it fails to take account of specialists ' trading in relation to the overall ...
Página 188
... performance of that exchange . It is not possible within the confines of this report to indicate the applicability of each rec- ommendation to each registered securities exchange , nor has it been possible to analyze the special ...
... performance of that exchange . It is not possible within the confines of this report to indicate the applicability of each rec- ommendation to each registered securities exchange , nor has it been possible to analyze the special ...
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