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 32
Página 42
... salesmen , the usual approach is to encourage the use of organized training programs , and even , in the case of the NYSE , to provide advice concerning them , but to set no minimum standards for them ( other than the NYSE and Amex ...
... salesmen , the usual approach is to encourage the use of organized training programs , and even , in the case of the NYSE , to provide advice concerning them , but to set no minimum standards for them ( other than the NYSE and Amex ...
Página 43
... salesmen subject to statutory bars , does not even have a record of the salesmen employed by the firms which it registers . Furthermore , its administrative procedures for eliminating undesir- able salesmen , either before or after they ...
... salesmen subject to statutory bars , does not even have a record of the salesmen employed by the firms which it registers . Furthermore , its administrative procedures for eliminating undesir- able salesmen , either before or after they ...
Página 50
... salesmen on a commission basis is an almost universal practice . Many are paid a draw against commissions , but the direct stimulus of the commission to the production of business still remains . Many firms increase this awareness by ...
... salesmen on a commission basis is an almost universal practice . Many are paid a draw against commissions , but the direct stimulus of the commission to the production of business still remains . Many firms increase this awareness by ...
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