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 87
Página 37
United States. Securities and Exchange Commission. CHAPTER II QUALIFICATIONS OF PERSONS IN THE SECURITIES INDUSTRY The large numbers of new investors and new broker - dealer firms and salesmen attracted to the securities industry in ...
United States. Securities and Exchange Commission. CHAPTER II QUALIFICATIONS OF PERSONS IN THE SECURITIES INDUSTRY The large numbers of new investors and new broker - dealer firms and salesmen attracted to the securities industry in ...
Página 76
United States. Securities and Exchange Commission. reliance upon the exemption from registration provided by sec- tion 3 ( a ) ( 11 ) of the Securities Act should be required to file with the Commission an advance notice of such ...
United States. Securities and Exchange Commission. reliance upon the exemption from registration provided by sec- tion 3 ( a ) ( 11 ) of the Securities Act should be required to file with the Commission an advance notice of such ...
Página 149
... SECURITIES [ Part A ( Introduction ) discusses generally the need for adequate availability and dissemination of information about issuers and the need to extend to unlisted securities the safeguards now applicable to listed securities ...
... SECURITIES [ Part A ( Introduction ) discusses generally the need for adequate availability and dissemination of information about issuers and the need to extend to unlisted securities the safeguards now applicable to listed securities ...
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