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 54
Página 83
... questions , so also are there important questions of overparticipation by specialists . The latter questions had earlier recognition and emphasis in regulatory terms ; under the Exchange Act , a specialist's dealer transactions are to ...
... questions , so also are there important questions of overparticipation by specialists . The latter questions had earlier recognition and emphasis in regulatory terms ; under the Exchange Act , a specialist's dealer transactions are to ...
Página 104
... questions . Despite these consequences , the practices have not fully met the underlying needs , and their failure to do so has spurred a diversion of trading volume from the NYSE to other markets . * Another structural characteristic ...
... questions . Despite these consequences , the practices have not fully met the underlying needs , and their failure to do so has spurred a diversion of trading volume from the NYSE to other markets . * Another structural characteristic ...
Página 189
... question ; in practice this has meant that , although proceedings are handled locally in the first instance , appeals ... questions . " Time " is the key word , the time of volunteer members . There are limits on the amount of time that ...
... question ; in practice this has meant that , although proceedings are handled locally in the first instance , appeals ... questions . " Time " is the key word , the time of volunteer members . There are limits on the amount of time that ...
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