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 51
Página 104
... volume from the NYSE to other markets . * Another structural characteristic of the NYSE's nonmember com- mission schedule is its coverage of services performed by brokers in addition to the execution and clearance of transactions . Such ...
... volume from the NYSE to other markets . * Another structural characteristic of the NYSE's nonmember com- mission schedule is its coverage of services performed by brokers in addition to the execution and clearance of transactions . Such ...
Página 106
... volume of a particular customer's business ( whether measured by size of single orders or volume of orders over periods of time ) on the cost of serving that customer , and ( c ) a particular customer's use or nonuse of ancillary ...
... volume of a particular customer's business ( whether measured by size of single orders or volume of orders over periods of time ) on the cost of serving that customer , and ( c ) a particular customer's use or nonuse of ancillary ...
Página 173
... volume discounts and rebates . In the broad study of the commission rate structure recommended to the Commission in chapter VI - I , appropriate consideration should be given to the desirability and appropriate form of a volume discount ...
... volume discounts and rebates . In the broad study of the commission rate structure recommended to the Commission in chapter VI - I , appropriate consideration should be given to the desirability and appropriate form of a volume discount ...
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