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 78
Página 102
... rule or rules designed to cope more effec- tively with the potentially depressing effects of short selling dur- ing price declines . While the Special Study is not prepared to sug- gest the exact form of such rule or rules of general ...
... rule or rules designed to cope more effec- tively with the potentially depressing effects of short selling dur- ing price declines . While the Special Study is not prepared to sug- gest the exact form of such rule or rules of general ...
Página 200
... rules , particularly in those areas where the Commission has direct authority under the Ex- change Act to make and enforce its own rules but instead has allowed the exchanges to adopt rules as part of their self - regulatory activities ...
... rules , particularly in those areas where the Commission has direct authority under the Ex- change Act to make and enforce its own rules but instead has allowed the exchanges to adopt rules as part of their self - regulatory activities ...
Página 202
... rules ( in the broadest sense ) of the self - regula- tory agencies , it is one of the important continuing responsibilities of the Commission to examine them upon initial promulgation and to reexamine them from time to time in light of ...
... rules ( in the broadest sense ) of the self - regula- tory agencies , it is one of the important continuing responsibilities of the Commission to examine them upon initial promulgation and to reexamine them from time to time in light of ...
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