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 54
Página 20
... various specialized categories of members , particularly specialists , odd - lot brokers and dealers , and floor ... various interrelationships among trading markets , includ- ing patterns of distribution of securities among exchange and ...
... various specialized categories of members , particularly specialists , odd - lot brokers and dealers , and floor ... various interrelationships among trading markets , includ- ing patterns of distribution of securities among exchange and ...
Página 192
... various sections " with- in the district be appropriately and fairly represented . At the na- tional level , there has been only limited success in conforming to the bylaw provision , at least partly because the geographic ( i.e. ...
... various sections " with- in the district be appropriately and fairly represented . At the na- tional level , there has been only limited success in conforming to the bylaw provision , at least partly because the geographic ( i.e. ...
Página 204
... various ex- changes , the NASD , the Commission , and the States . Each of the bodies with regulatory duties is concerned with the conduct of those firms and individuals under its authority , and frequently this results in overlapping ...
... various ex- changes , the NASD , the Commission , and the States . Each of the bodies with regulatory duties is concerned with the conduct of those firms and individuals under its authority , and frequently this results in overlapping ...
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