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 46.
5. lappuse
... particular qualifications to sell securities ; and most important , many are not subject to the kind of supervision which insures high ethical standards . The possibility exists that these factors may have led to questionable ...
... particular qualifications to sell securities ; and most important , many are not subject to the kind of supervision which insures high ethical standards . The possibility exists that these factors may have led to questionable ...
6. lappuse
... particular issues , is not available and disclosure concerning many issuers whose securities are traded in this market is inadequate . Among the problems which have arisen is that presented by securities whose market price rises sharply ...
... particular issues , is not available and disclosure concerning many issuers whose securities are traded in this market is inadequate . Among the problems which have arisen is that presented by securities whose market price rises sharply ...
7. lappuse
... particular area requires prompt legislative action , the Commission should be free to re- port and make recommendations to the Congress on that matter without wait- ing until the study is completed . Second , the resolution should be ...
... particular area requires prompt legislative action , the Commission should be free to re- port and make recommendations to the Congress on that matter without wait- ing until the study is completed . Second , the resolution should be ...
9. lappuse
... particular customer . Recent developments in marketing methods may have undermined this relationship , this personal relationship , and it also may have led to questionable merchandising techniques . These recent developments to which I ...
... particular customer . Recent developments in marketing methods may have undermined this relationship , this personal relationship , and it also may have led to questionable merchandising techniques . These recent developments to which I ...
10. lappuse
... particular qualifications . And they are not subject to the type of supervision which emphasizes ethical standards . Another element of growth has been of branch offices . The number maintained by member firms of the New York Stock ...
... particular qualifications . And they are not subject to the type of supervision which emphasizes ethical standards . Another element of growth has been of branch offices . The number maintained by member firms of the New York Stock ...
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...