 | United States. Congress. Senate. District of Columbia - 1964 - 140 pages
...a shoestring. Anyone can defraud investors. It has long been an anomaly that the city in which both the Securities and Exchange Commission and the National Association of Securities Dealers, Inc., are headquartered should be a haven for the unscrupulous fringe elements of the securities industry... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 1598 pages
...three-pronged defense against unqualified investment firms and questionable stocks. The other two prongs are the Securities and Exchange Commission and the National Association of Securities Dealers. Washington lacks the first prong — a local law to keep out undercapitalized, imderexperienced, and... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 174 pages
...three-pronged defense against unqualified investment firms and questionable stocks. The other two prongs are the Securities and Exchange Commission and the National Association of Securities Dealers. Washington lacks the first prong — a local law to keep out undercapitalized, underexperienced, and... | |
 | United States. Congress. Senate. Labor and Public Welfare - 1966 - 864 pages
...he received. PREPARED STATEMENT OF CLARENCE E. SHAW From 1050 to 1064. I was registered with thp US Securities and Exchange Commission and the National Association of Securities Dealers Inc.. as a BrokerDealer in Securities, licensed in the District of Columbia and Xnrth Carolina. In 1904 the... | |
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I commend the US investment banking community for resisting the pressure of certain foreign investment bankers to force the exclusion from financing syndicates of some investment banking firms on a discriminatory basis. I commend the Securities and Exchange... 
