Securities Markets Investigation: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-seventh Congress, First Session on H. J. Res. 438U.S. Government Printing Office, 1961 - 178 lappuses Considers legislation to authorize SEC to investigate effectiveness of securities industry self-regulation, including operations of stock exchanges and the National Association of Securities Dealers. |
No grāmatas satura
1.–5. rezultāts no 23.
. lappuse
... Examinations for 1960-61 , table .. Summary of examiners . Total number of " hot issues " and questionnaires investigated for the period of 1956 through March 1961 , table . New York Stock Exchange , disciplinary procedures ...
... Examinations for 1960-61 , table .. Summary of examiners . Total number of " hot issues " and questionnaires investigated for the period of 1956 through March 1961 , table . New York Stock Exchange , disciplinary procedures ...
52. lappuse
... examination of the materials . I have a document here which was published by the NASD which contains the statement of policy , the interpretations they have issued , various charts and tables which have been published from time to time ...
... examination of the materials . I have a document here which was published by the NASD which contains the statement of policy , the interpretations they have issued , various charts and tables which have been published from time to time ...
62. lappuse
... examination and investigation of members to see that our rules , certain rules and regulations of the Securities and Exchange Commission , and certain regulations of the Board of Gov- ernors of the Federal Reserve System are being ...
... examination and investigation of members to see that our rules , certain rules and regulations of the Securities and Exchange Commission , and certain regulations of the Board of Gov- ernors of the Federal Reserve System are being ...
63. lappuse
... examinations , disciplinary actions , bylaws , rules , and interpretations . In addition to the continuous review implicit in the disciplinary area , it should be noted that the association has never put into effect a rule ...
... examinations , disciplinary actions , bylaws , rules , and interpretations . In addition to the continuous review implicit in the disciplinary area , it should be noted that the association has never put into effect a rule ...
65. lappuse
... examination . We feel that if firms will improve their educational programs , train these men better , that it will tend to solve this problem . We also , from the point of view of the industry , would like to say that as far as the ...
... examination . We feel that if firms will improve their educational programs , train these men better , that it will tend to solve this problem . We also , from the point of view of the industry , would like to say that as far as the ...
Bieži izmantoti vārdi un frāzes
activity American Stock Exchange amount Association of Securities board of governors British American Tobacco broker broker-dealers Canadian Javelin capital CARY Chairman CLAFLIN COHEN common common)¹ concerning Congress Corp corporation correct CURTIN DINGELL director disciplinary action disclosure enforcement Exchange Commission fact filed firm floor committee FUNSTON Gerard F GLENN HEMPHILL House Joint Resolution industry interest investigation investment adviser investment company investors issues Joint Resolution 438 KEITH listed LOOMIS MACK manipulation matter McCORMICK MOONEY mutual funds NASD national securities exchange odd-lot operations over-the-counter market partner percent person principal underwriter problem purchase question referred registered regulations REILLY respect rules Securities and Exchange Securities Dealers Securities Exchange Act securities markets sell shares specialist statement stockholders subcommittee tion trading transactions unlisted violation Wall Street Journal York Stock Exchange
Populāri fragmenti
2. lappuse - Act of 1934 is amended by adding at the end thereof a new subsection as follows : "(d) The Commission is authorized and directed to make a study and investigation of the adequacy, for the protection of investors, of the rules of national securities exchanges and national securities associations...
5. lappuse - Act of 1923, as amended, an executive secretary, and such attorneys, examiners, and regional directors, and shall appoint such other employees with regard to existing laws applicable to the employment and compensation of officers and employees of the United States...
69. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
25. lappuse - Include the name of each person whose Interest In any transaction Is described and the nature of the relationship by reason of which such Interest Is required to be described. Where It is not practicable to state the approximate amount of the Interest, the approximate amount Involved in the transaction shall be indicated.
148. lappuse - ... checks, money orders, or similar instruments, any broker or dealer in securities registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934...
23. lappuse - ... it is not practicable to state the approximate amount of the interest, the approximate amount involved in the transaction shall be indicated. 2. As to any transaction involving the purchase or sale of assets by or to the bank or any subsidiary. otherwise than in the ordinary course of business, state the cost of the assets to the purchaser and the cost thereof to the seller if acquired by the seller within two years prior to the transaction.
72. lappuse - The rules of a registered securities association may provide that no member thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions or fees, and on the same terms and conditions as are by such member accorded to the general public.
173. lappuse - The supplying of all or substantially all the stock bid for on the book at a price equal to the last sale, when the stock so bid for represents all or substantially all the stock bid for in the market. "Transactions...