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 48
Página 71
... role of the underwriter , a role demand- ing particular skill , experience and sense of responsibility . Many of the broker - dealers who undertook the role of underwriter under the stimulus of the new - issue boom not only were lacking ...
... role of the underwriter , a role demand- ing particular skill , experience and sense of responsibility . Many of the broker - dealers who undertook the role of underwriter under the stimulus of the new - issue boom not only were lacking ...
Página 183
... role as self - regulator . The following are con- fined to the organizational and procedural aspects of this role . 2. A disproportionate influence of floor professionals in the government of the Exchange stems ultimately from the ...
... role as self - regulator . The following are con- fined to the organizational and procedural aspects of this role . 2. A disproportionate influence of floor professionals in the government of the Exchange stems ultimately from the ...
Página 190
... role of the full- time staff in relation to the role of the volunteer officials , and also as to ( 2 ) the alloaction of responsibilities among volunteer member partici- pants . ( 1 ) With regard to the composition and role of the full ...
... role of the full- time staff in relation to the role of the volunteer officials , and also as to ( 2 ) the alloaction of responsibilities among volunteer member partici- pants . ( 1 ) With regard to the composition and role of the full ...
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