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 33
Página 25
... staff . The clerical staff included Charles M. Atwell , Ann Hebert , Ann R. Heymann , Fred Horowitz , Margaret C. Hull , M. Karen Patten , Toby Orenstein , Joan R. Oxman , J. Michael Schaefer , Richard G. Schwartz , Gerald C. Spencer ...
... staff . The clerical staff included Charles M. Atwell , Ann Hebert , Ann R. Heymann , Fred Horowitz , Margaret C. Hull , M. Karen Patten , Toby Orenstein , Joan R. Oxman , J. Michael Schaefer , Richard G. Schwartz , Gerald C. Spencer ...
Página 28
... staff outside the study staff : Walter Werner , Gordon Henderson , Charles R. McCutcheon , Vito Natrella , John Woodward and Joel Rabin . In the list of those outside the study's own staff who have borne added burdens in connection with ...
... staff outside the study staff : Walter Werner , Gordon Henderson , Charles R. McCutcheon , Vito Natrella , John Woodward and Joel Rabin . In the list of those outside the study's own staff who have borne added burdens in connection with ...
Página 190
... staff in relation to the role of the volunteer officials , and also as to ( 2 ) the alloaction of responsibilities among volunteer member partici- pants . ( 1 ) With regard to the composition and role of the full - time staff , it is ...
... staff in relation to the role of the volunteer officials , and also as to ( 2 ) the alloaction of responsibilities among volunteer member partici- pants . ( 1 ) With regard to the composition and role of the full - time staff , it is ...
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