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 66
Página 53
... selling . The NASD rules governing selling practices are sufficiently broad and inclusive to cover the major abuses found to exist in this area , as enumerated above . Unlike the Commission , the association can im- pose a wide range of ...
... selling . The NASD rules governing selling practices are sufficiently broad and inclusive to cover the major abuses found to exist in this area , as enumerated above . Unlike the Commission , the association can im- pose a wide range of ...
Página 100
... selling , partly because their obligation to maintain fair and orderly markets frequently leads them to make short sales . In recent years , their short selling ordi- narily has represented 40 to 70 percent of total short sales . As a ...
... selling , partly because their obligation to maintain fair and orderly markets frequently leads them to make short sales . In recent years , their short selling ordi- narily has represented 40 to 70 percent of total short sales . As a ...
Página 101
... selling in prominent stocks during intervals of price weakness indicates the in- adequacy of current rules to cope with the harmful effect of short selling which they were devised to prevent . The presence of extra selling burdens ...
... selling in prominent stocks during intervals of price weakness indicates the in- adequacy of current rules to cope with the harmful effect of short selling which they were devised to prevent . The presence of extra selling burdens ...
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