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" SEC, noting that complete segregation of functions ... as a specific remedy for all the multifarious possibilities for conflicts in the complex securities business could not be a simple segregation in any traditional sense but would have to involve fragmentation... "
Institutional Membership on National Securities Exchanges: Hearings, Ninety ... - Page 459
by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1972 - 906 pages
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Social Forces, Volume 45

Electronic journals - 1966 - 738 pages
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Perspectives on the Social Order: Readings in Sociology

Hugh Laurence Ross - Sociology - 1968 - 568 pages
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Hearings, Reports and Prints of the House Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Interstate commerce - 1972 - 1222 pages
...segregation of functions — a remedy often invoked or suggested where conflicts are considered. But segregation as a specific remedy for all the multifarious...have to involve fragmentation of the business to a jioint where (as facetiously pointed out in a recent magazine article) each investor would have his...
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Ferrara on Insider Trading and the Wall

Ralph C. Ferrara, Herbert Thomas, Donna M. Nagy - Business & Economics - 2023 - 960 pages
...Total elimination of all possibilities is obviously quite out of the question; theoretically, it ... would have to involve fragmentation of the business to a point where each investor would have his own broker who would not be permitted to act for any other customer or...
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Pflichtenkollision bei der Effektenberatung: Untersuchung zivilrechtlicher ...

Rafael Sartowski - 2005 - 241 pages
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