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 48
Página 2
... protection , thus preserving and enhancing the level of investor confidence . Raising capital from the general public is a marked feature of the American economic system . In this country there are now approximately 17 million ...
... protection , thus preserving and enhancing the level of investor confidence . Raising capital from the general public is a marked feature of the American economic system . In this country there are now approximately 17 million ...
Página 37
... protection of the former from the errors and depredations of the latter has imposed a heavy burden on the governmental and self - regulatory agencies charged with the protection of the public interest in the area of securities and ...
... protection of the former from the errors and depredations of the latter has imposed a heavy burden on the governmental and self - regulatory agencies charged with the protection of the public interest in the area of securities and ...
Página 61
... protection now existing under the rules of certain exchanges with respect to segregation and hy- pothecation and lending of customers ' securities . The net capital ratio rules of the Commission and certain exchanges have been a ...
... protection now existing under the rules of certain exchanges with respect to segregation and hy- pothecation and lending of customers ' securities . The net capital ratio rules of the Commission and certain exchanges have been a ...
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