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12576 [i] (1963-1964)

handle is hein.usccsset/usconset51000 and id is 1 raw text is: 



88th Congress, 1st Session      House Document No. 95, Pt. 1


                 REPORT OF

 SPECIAL STUDY OF SECURITIES MARKETS

                   OF THE

,SECURITIES AND EXCHANGE COMMISSION

                    PART 1



                    CONSISTING OF
 LETTERS OF TRANSMITTAL OF APRIL 3, 1963, FROM THE
 CHAIRMAN, SECURITIES AND EXCHANGE COMMISSION
 ,AND FROM THE SPECIAL STUDY OF SECURITIES MARKETS,
 AND THE FOLLOWING CHAPTERS:
 CHAPTER I.-INTRODUCTION
 CHAPTER II.QUALIFICATIONS OF PERSONS IN THE SE-
              CURITIES INDUSTRY
 CHAPTER III.-BROKER-DEALERS, IN4VESTMENT ADVIS-
              ERS AND THEIR CUSTOMERS-ACTIVI-
              TIES AND RESPONSIBILITIES
 CHAPTER IV -PRIMARY AND SECONDARY DISTRIBU-
              TIONS TO THE PUBLIC
 OF THE REPORT OF THE SPECIAL STUDY OF SECURITIES
 MARKETS, RELATING TO THE ADEQUACY OF INVESTOR
 PROTECTION IN THE SECURITIES MARKETS, PURSUANT
 TO SECTION 19(d) OF THE SECURITIES EXCHANGE ACT
           OF 1934 (PUBLIC LAW 87-196)





                    w


 APR h 3, 1963.-Referred to the Committee ou Interstate and Foreign
      Commerce and ordered to be printed with illustrations

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