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 36.
4. lappuse
... selling securities , and the trading practices on the exchanges and in the over - the - counter market . Because of the lack of detailed information about many of the developments in the securities markets , a void which would be cured ...
... selling securities , and the trading practices on the exchanges and in the over - the - counter market . Because of the lack of detailed information about many of the developments in the securities markets , a void which would be cured ...
5. lappuse
... selling securities , such as the spread of branch offices , the employment of part - time salesmen , and the usė of ... sell securities ; and most important , many are not subject to the kind of supervision which insures high ethical ...
... selling securities , such as the spread of branch offices , the employment of part - time salesmen , and the usė of ... sell securities ; and most important , many are not subject to the kind of supervision which insures high ethical ...
17. lappuse
... selling techniques . This review will be undertaken with a view toward determining whether a long - range program in the investment company area should be proposed . It is anticipated that if the need for legislation is indi- cated by ...
... selling techniques . This review will be undertaken with a view toward determining whether a long - range program in the investment company area should be proposed . It is anticipated that if the need for legislation is indi- cated by ...
21. lappuse
... selling of investment company securities . ( f ) Other . NOTE . Number of employees may be shown in terms of man - years . State the gross compensation paid directly by the investment adviser during the past fiscal year to officers and ...
... selling of investment company securities . ( f ) Other . NOTE . Number of employees may be shown in terms of man - years . State the gross compensation paid directly by the investment adviser during the past fiscal year to officers and ...
23. lappuse
... sell shares of the investment company , or broker- dealers who furnish benefits in the form of payment of expenses or otherwise ( but not including investment advice or information covered under item 2 ) to the investment company or to ...
... sell shares of the investment company , or broker- dealers who furnish benefits in the form of payment of expenses or otherwise ( but not including investment advice or information covered under item 2 ) to the investment company or to ...
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...