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 77
Página 108
... present the Exchange and member firms file many periodic reports on a variety of subjects , each of which is designed for a specific purpose . The processing of these reports does not make use in any substantial degree of modern data ...
... present the Exchange and member firms file many periodic reports on a variety of subjects , each of which is designed for a specific purpose . The processing of these reports does not make use in any substantial degree of modern data ...
Página 119
... present practices , a majority of over - the - counter purchases by individuals are executed on an agency basis and with disclosure of the cost of execution . However , the fact that a customer always has the right to purchase on an ...
... present practices , a majority of over - the - counter purchases by individuals are executed on an agency basis and with disclosure of the cost of execution . However , the fact that a customer always has the right to purchase on an ...
Página 191
... present . In the disciplinary area specifically ( apart from other possibilities mentioned below ) the staff might be expected to play a larger role in the processing of cases down to the point of actual decision and assessment of ...
... present . In the disciplinary area specifically ( apart from other possibilities mentioned below ) the staff might be expected to play a larger role in the processing of cases down to the point of actual decision and assessment of ...
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