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 51
Página 40
... principal of a firm applying for NASD membership than that he be free of statutory bars and that he pass the same ... principals , as is the NYSE for its recently instituted examinations for members and allied members ; but how- ever ...
... principal of a firm applying for NASD membership than that he be free of statutory bars and that he pass the same ... principals , as is the NYSE for its recently instituted examinations for members and allied members ; but how- ever ...
Página 117
... principal or agent when dealing with a public customer . The study's data show that the majority of over - the - counter transactions of public customers in corporate stocks are handled on an agency basis but that institutions tend to ...
... principal or agent when dealing with a public customer . The study's data show that the majority of over - the - counter transactions of public customers in corporate stocks are handled on an agency basis but that institutions tend to ...
Página 118
... Principal markups ordinarily run higher than agency commissions and they are even higher in so - called riskless transactions ( where the dealer sells as principal to his customer and concurrently buys the security sold ) , which ...
... Principal markups ordinarily run higher than agency commissions and they are even higher in so - called riskless transactions ( where the dealer sells as principal to his customer and concurrently buys the security sold ) , which ...
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