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 88
Página 177
... regulation . ] PART B. THE NEW YORK STOCK EXCHANGE AS A SELF - REGULATORY INSTITUTION The influence and prestige of the New York Stock Exchange among the self - regulatory institutions are unrivaled . It occupied a singular position in ...
... regulation . ] PART B. THE NEW YORK STOCK EXCHANGE AS A SELF - REGULATORY INSTITUTION The influence and prestige of the New York Stock Exchange among the self - regulatory institutions are unrivaled . It occupied a singular position in ...
Página 197
... regulatory organization . " PART I. SELF - REGULATION AND THE COMMISSION Because self - regulation is such an important and integral part of the regulatory pattern for the securities markets , and because the Commission at the same time ...
... regulatory organization . " PART I. SELF - REGULATION AND THE COMMISSION Because self - regulation is such an important and integral part of the regulatory pattern for the securities markets , and because the Commission at the same time ...
Página 198
... regulation . Certain fundamental concepts concerning the relationship between the self - regulatory institutions and the Government stem from the fact that , in important respects , the self - regulatory body is an official arm or ...
... regulation . Certain fundamental concepts concerning the relationship between the self - regulatory institutions and the Government stem from the fact that , in important respects , the self - regulatory body is an official arm 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