 ... (8) the reporting of transactions on the exchange and upon tickers maintained by or with the consent of the exchange, including the method of reporting short sales, stopped sales, sales of securities of issuers in default, bankruptcy or receivership,...  Securities Industry Study: Report - Página 144por United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1973 - 240 páginasVisualização integral - Acerca deste livro
 | United States - 1938 - 48 páginas
...of issuers in default, bankruptcy or receivership, and sales involving other special circumstances ; (9) the fixing of reasonable rates of commission,...deposits on margin accounts; and (13) similar matters. (c) The Commission is authorized and directed to make a study and investigation of the rules of national... | |
 | United States. Securities and Exchange Commission - 1956 - 900 páginas
...rates of comnission, interest, listing, and other charges; (10) minimum units of trading; (11) odd -lot purchases and sales; (12) minimum deposits on margin accounts; and (13) similar matters. (c) The Commission is authorized and directed to make a study and investigation of the rules of national... | |
 | United States - 1953 - 1692 páginas
...of issuers in default, bankruptcy or receivership, and sales involving other special circumstances; (9) the fixing of reasonable rates of commission, interest, listing, and other charges; (10) minimum unite of trading; TITLE 15.— COMMERCE AND TRADE (11) odd-lot purchases and sales; (12) minimum deposits... | |
 | United States. Securities and Exchange Commission - 1944 - 1290 páginas
...the meaning of Section 19 (b) (5). It is also apparent that the Rule is in respect of such matters as "the fixing of reasonable rates of commission, interest, listing, and other charges" within the meaning of subdivision (9) of Section 19 (b). As we have already indicated, the NYSE has... | |
 | United States - 1955 - 54 páginas
...of issuers in default, bankruptcy or receivership, and sales involving other special circumstances; (9) the fixing of reasonable rates of commission,...deposits on margin accounts; and (13) similar matters. (c) The Commission is authorized and directed to make a study and investigation of the rules of national... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1959 - 658 páginas
...issuers in default, bankruptcy or receivership, and sales involving other special circumstances; (0) the fixing of reasonable rates of commission, interest,...deposits on margin accounts; and (13) similar matters. (c) The Commission is authorized and directed to make a study and investigation of the rules of national... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1959 - 2024 páginas
...of issuers in default, bankruptcy or receivership, and sales involving oilier special circumstances; (9) the fixing of reasonable rates of commission, interest, listing, and other charges; (HO minimum units of trading; (11) odd-lot purchases and sales; (12) minimum deposits on margin accounts;... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 páginas
...of issuers in default, bankruptcy or receivership, and sales involving other special circumstances; (9) the fixing of reasonable rates of commission,...deposits on margin accounts; and (13) similar matters. (c) The Commission is authorized and directed to make a study and investigation of the rules of national... | |
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