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 42
Página 37
... persons who were inept , ignorant , or rapacious . The protection of the former from the errors and depredations of ... persons in the securities business . The Commission's controls which affect the largest number of persons in the ...
... persons who were inept , ignorant , or rapacious . The protection of the former from the errors and depredations of ... persons in the securities business . The Commission's controls which affect the largest number of persons in the ...
Página 45
... PERSONS PROVIDING INVESTMENT ADVICE Qualification standards for persons , other than salesmen as such , who are responsible for disseminating investment advice , whether through broker - dealers or through registered investment advisory ...
... PERSONS PROVIDING INVESTMENT ADVICE Qualification standards for persons , other than salesmen as such , who are responsible for disseminating investment advice , whether through broker - dealers or through registered investment advisory ...
Página 74
... persons ( with or without identifying the persons ) ; the underwriting arrangements and / or discounts and commissions involved ; and whether stabilizing transac- tions may be effected . Some of this information should also be supplied ...
... persons ( with or without identifying the persons ) ; the underwriting arrangements and / or discounts and commissions involved ; and whether stabilizing transac- tions may be effected . Some of this information should also be supplied ...
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