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 89
Página 197
... regulation without statutory sanction or official review of their ac- tion . In any event , they cannot be considered as providing a satisfac- tory source of self - regulation or substitute for regulation in areas where regulation is ...
... regulation without statutory sanction or official review of their ac- tion . In any event , they cannot be considered as providing a satisfac- tory source of self - regulation or substitute for regulation in areas where regulation is ...
Página 198
... regulation presents its own problems of practicality and efficiency , not unlike those of direct governmental regulation . Certain fundamental concepts concerning the relationship between the self - regulatory institutions and the ...
... regulation presents its own problems of practicality and efficiency , not unlike those of direct governmental regulation . Certain fundamental concepts concerning the relationship between the self - regulatory institutions and the ...
Página 201
... regulation and supervision of self - regulation , the Commis- sion should , to a greater extent than has been its practice , publicly record the substantive results of its administration of regulatory and supervisory powers . Actions or ...
... regulation and supervision of self - regulation , the Commis- sion should , to a greater extent than has been its practice , publicly record the substantive results of its administration of regulatory and supervisory powers . Actions or ...
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