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 47
Página 9
... specific recommendations contained in the first part of the report . We expect to send a letter within the next few days detailing our views on the specific recommen- dations in the second installment . III At the present time the ...
... specific recommendations contained in the first part of the report . We expect to send a letter within the next few days detailing our views on the specific recommen- dations in the second installment . III At the present time the ...
Página 60
... specific identification of issuers for which no officially filed information is available ; ( e ) prohibition of specific practices in connection with written or oral recommendations , such as predicting specific future price levels of ...
... specific identification of issuers for which no officially filed information is available ; ( e ) prohibition of specific practices in connection with written or oral recommendations , such as predicting specific future price levels of ...
Página 87
... specific trans- actions . The Special Study concludes and recommends : 1. The specialist system now in operation on the NYSE and Amex is different in significant respects from the system which existed when present regulatory policies ...
... specific trans- actions . The Special Study concludes and recommends : 1. The specialist system now in operation on the NYSE and Amex is different in significant respects from the system which existed when present regulatory policies ...
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