Report of special study of securities markets of the Securities and Exchange Commission, Volumen5U.S. Government Printing Office, 1963 |
Dentro del libro
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Página 9
... recommendations are of a similar nature . For example , any conclusions about certain of the recommendations concerning the over - the - counter market must await further explora- tion and consultation with the industry . Similarly ...
... recommendations are of a similar nature . For example , any conclusions about certain of the recommendations concerning the over - the - counter market must await further explora- tion and consultation with the industry . Similarly ...
Página 57
... recommendations . It generally classifies the securities in terms of investment goals , but omits any consideration of adverse data or uncertainties . Overwhelmingly the recommendations are to purchase ; recommendations to sell ...
... recommendations . It generally classifies the securities in terms of investment goals , but omits any consideration of adverse data or uncertainties . Overwhelmingly the recommendations are to purchase ; recommendations to sell ...
Página 157
... recommendations , not- withstanding that the recommendations relate essentially to matters in the jurisdiction of the Board of Governors . The recommendations set forth below are expressed with full regard for , and without intend- ing ...
... recommendations , not- withstanding that the recommendations relate essentially to matters in the jurisdiction of the Board of Governors . The recommendations set forth below are expressed with full regard for , and without intend- ing ...
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