Securities Exchange Act Amendments of 1973: Hearings, Ninety-third Congress, First Session, on H.R. 5050 and H.R. 340...U.S. Government Printing Office, 1974 |
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85개의 결과 중 1 - 5개
1774 페이지
... believe it effectively aims toward a viable , responsible , and open market subject at the same time . to both strengthened regulatory tools and broadened competitive forces . Most happily , the bill does not grant to the exchange the ...
... believe it effectively aims toward a viable , responsible , and open market subject at the same time . to both strengthened regulatory tools and broadened competitive forces . Most happily , the bill does not grant to the exchange the ...
1775 페이지
... believe these are sound principles , and by leaving their determina- tions to the courts under the antitrust laws , H.R. 5050 does major service to the commitment to fair and open markets . There are other very important advances made ...
... believe these are sound principles , and by leaving their determina- tions to the courts under the antitrust laws , H.R. 5050 does major service to the commitment to fair and open markets . There are other very important advances made ...
1776 페이지
... believe , a far healthier and more pervasive solution to current industry ills than the halfway proposal of the SEC . The Commission would by 1974 allow negotiated rates on transactions over $ 100,000 but has not as yet addressed itself ...
... believe , a far healthier and more pervasive solution to current industry ills than the halfway proposal of the SEC . The Commission would by 1974 allow negotiated rates on transactions over $ 100,000 but has not as yet addressed itself ...
1777 페이지
... believe adoption of 209 is absolutely central to the goal of an open market . Rule 394 is designed to preserve the power of New York Stock Exchange members to impose double commissions on trade effected through the exchange . The ...
... believe adoption of 209 is absolutely central to the goal of an open market . Rule 394 is designed to preserve the power of New York Stock Exchange members to impose double commissions on trade effected through the exchange . The ...
1778 페이지
... believe , however , that these objectives could be more appropriately achieved by a slightly different approach which would utilize the expertise and manpower of both the Commission and the Federal bank regulatory agencies , and avoid ...
... believe , however , that these objectives could be more appropriately achieved by a slightly different approach which would utilize the expertise and manpower of both the Commission and the Federal bank regulatory agencies , and avoid ...
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additional agency or securities amendments American Bankers Association American Stock Exchange appropriate regulatory agency Association bank regulatory agencies bank regulatory authorities banking agencies believe BEVIS bill Board broker-dealers brokerage brokers Chairman Moss Chicago clearing agency Clearing Corporation Committee Congress CURTIS CUSIP dealer deposit depository participants Depository Trust Depository Trust Company enforcement entities EVANS Exchange Commission Federal Reserve System firms functions funds settlement funds valued today funds valued tomorrow GARDINER institutions interface investors issues legislation Letter dated Midwest mutual funds NASD National Coordinating Group numbering system operations participants problems proposed Section 17A public interest record regional depositories registration regulation require responsibility rulemaking Securities and Exchange Securities Exchange Act securities industry securities processing securities transactions settlement of securities shareholder standards statement stock certificate stock transfer Subcommittee Subsection tion trade Trust Company Uniform Commercial Code vice president York Stock Exchange