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 46
Página 40
... recent steps towards requiring special examinations for in- experienced broker - dealer principals , as is the NYSE for its recently instituted examinations for members and allied members ; but how- ever effective experience proves ...
... recent steps towards requiring special examinations for in- experienced broker - dealer principals , as is the NYSE for its recently instituted examinations for members and allied members ; but how- ever effective experience proves ...
Página 142
... recent years to reexamine the schedule's assumptions and to measure its adequacy in light of today's market conditions . The challenge to the primary market represented by the third mar- ket calls for imagination and statesmanship in ...
... recent years to reexamine the schedule's assumptions and to measure its adequacy in light of today's market conditions . The challenge to the primary market represented by the third mar- ket calls for imagination and statesmanship in ...
Página 181
... recent changes adopted by the Exchange in the handling of these complaints will result in more effective utilization of them as a surveillance device . Related to the handling of public complaints is the Exchange's arbitration machinery ...
... recent changes adopted by the Exchange in the handling of these complaints will result in more effective utilization of them as a surveillance device . Related to the handling of public complaints is the Exchange's arbitration machinery ...
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