Report, Volumen1U.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 1-5 de 92
Página xv
... violation of law , but it may not proceed administratively against an individual perpetrator of the violation . It may impose no sanction to enforce the obliga- tions of an exchange other than suspension or withdrawal of its regis ...
... violation of law , but it may not proceed administratively against an individual perpetrator of the violation . It may impose no sanction to enforce the obliga- tions of an exchange other than suspension or withdrawal of its regis ...
Página 2
... violations of statutes and rules , and in view of the nearly 25 years which have elapsed since the last overall study of the operations of securities markets , it seems to this committee that it is now highly appropriate again to review ...
... violations of statutes and rules , and in view of the nearly 25 years which have elapsed since the last overall study of the operations of securities markets , it seems to this committee that it is now highly appropriate again to review ...
Página 4
... violations of securities laws or exchange or associa- tion rules ; but membership may be restricted geographically , or by type of business , " or on such other specified and appropriate basis , as appears to the Commission to be ...
... violations of securities laws or exchange or associa- tion rules ; but membership may be restricted geographically , or by type of business , " or on such other specified and appropriate basis , as appears to the Commission to be ...
Página 44
... Violations of NASD rules resulting in disciplinary action classified by year of membership of firm involved and type of violation .___ . 4. Status on August 1 , 1962 , of 215 broker - dealers whose applications for registration were ...
... Violations of NASD rules resulting in disciplinary action classified by year of membership of firm involved and type of violation .___ . 4. Status on August 1 , 1962 , of 215 broker - dealers whose applications for registration were ...
Página 48
... violated certain securities laws . To be free to engage in the se- curities business a broker - dealer need only observe the formality of registration with the Commission . Such other restraints and sanctions as are contained in the ...
... violated certain securities laws . To be free to engage in the se- curities business a broker - dealer need only observe the formality of registration with the Commission . Such other restraints and sanctions as are contained in the ...
Términos y frases comunes
accounts activities advertising advice advisory American Stock Exchange analysts application Bache & Co boiler rooms bonds branch manager branch offices broker broker-dealer firms brokerage bull market capital Commission compensation conduct controls corporate customers dealer discussed distribution Dunn Dunn Engineering employees examination Exchange Act release Exchange member exchange's experience Federal filed firm's free credit balances Growth Investment home office individual investigation investment advisers investors involved issuer issues limited registration market letters membership ment Merrill Lynch NASD offering price over-the-counter market partners percent period persons principals purchase qualifications questionnaire recommendations registered representatives regulation regulatory research department responsibility rules Securities Act securities business Securities Exchange Act securities industry securities markets self-regulatory selling practices shares Shearson sold Special Study specific staff standards study's supervision supervisors surety bond tion trading transactions underwriting Uniform Securities Act USAMCO violations York Stock Exchange
Pasajes populares
Página 302 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Página 4 - ... (6) the rules of the association provide for the equitable allocation of dues among its members, to defray reasonable expenses of administration; (7) the rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or univasonable rules of commissions or other charges, and, in general, to protect investors and the public interest...
Página 407 - contractual commitments" shall include underwriting, when-issued, when-distributed and delayed delivery contracts, endorsement of puts and calls, commitments in foreign currencies, and spot (cash) commodities contracts, but shall not include uncleared regular way purchases and sales of securities and contracts in commodities futures; a series of contracts of purchase or sale of the same security conditioned, if at all, only upon issuance may be treated as an individual commitment.
Página 450 - The Commission is authorized and directed to make a study and investigation of the work, activities, personnel, and functions of protective and reorganization committees in connection with the reorganization, readjustment, rehabilitation, liquidation, or consolidation of persons and properties and to report the result of its studies and investigations and its recommendations to the...
Página 359 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
Página 11 - National emergencies, which produce widespread unemployment and the dislocation of trade, transportation, and industry, and which burden interstate commerce and adversely affect the general welfare, are precipitated, intensified, and prolonged by manipulation and sudden and unreasonable fluctuations of security prices and by excessive speculation on such exchanges and markets, and to meet such emergencies the Federal Government is put to such great expense as to burden the national credit. DEFINITIONS...
Página 359 - ... is solely incidental to the practice of his profession ; (C) any broker or dealer whose performance of such services is solely incidental to the conduct of his business as a broker or dealer and who receives no special compensation therefor...
Página 690 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 239 - In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
Página 413 - ... identical form in the stockbroker's possession until the date of bankruptcy, or unless such property or any substitutes therefor or the proceeds thereof were, more than four months before bankruptcy or at a time while the stockbroker was solvent, allocated to or physically set aside for such customer, and remained so allocated or set aside at the date of bankruptcy.