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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1760 페이지
... Trade Association . Cohen , Manuel F. , former Chairman , Securities and Exchange Com- mission 822 , 1415 237 , 319 Coriaci , Joseph P. , chairman , Working Committee , National Coordi- nating Group for Comprehensive Securities ...
... Trade Association . Cohen , Manuel F. , former Chairman , Securities and Exchange Com- mission 822 , 1415 237 , 319 Coriaci , Joseph P. , chairman , Working Committee , National Coordi- nating Group for Comprehensive Securities ...
1762 페이지
... trading executed through broker - dealers_ . Letter dated August 21 , 1973 , from Walter D. Vinyard , Jr. , counsel ... trades under $ 100,000 and over $ 300,000 , January - June 1973 .. Portfolio turnover in the separate accounts ...
... trading executed through broker - dealers_ . Letter dated August 21 , 1973 , from Walter D. Vinyard , Jr. , counsel ... trades under $ 100,000 and over $ 300,000 , January - June 1973 .. Portfolio turnover in the separate accounts ...
1763 페이지
... trades below and above $ 300,000- - - Cary , Professor William L. , Columbia University School of Law and former Chairman , Securities and Exchange Commission : Outlook for Securities Markets , article from Harvard Business Review ...
... trades below and above $ 300,000- - - Cary , Professor William L. , Columbia University School of Law and former Chairman , Securities and Exchange Commission : Outlook for Securities Markets , article from Harvard Business Review ...
1764 페이지
... Trade Commission : List of cases in which the Department of Justice granted the FTC's request to petition the Supreme Court for certiorari - - - List of cases in which the Justice Department denied the FTC's re- quest to petition the ...
... Trade Commission : List of cases in which the Department of Justice granted the FTC's request to petition the Supreme Court for certiorari - - - List of cases in which the Justice Department denied the FTC's re- quest to petition the ...
1765 페이지
... Trade Association - Continued Statement of Raymond W. Cocchi , president , before the Subcom- mittee on Government Regulation , Senate Select Committee on Small Business , July 12 , 1973 .. Interstate and Foreign Commerce Committee ...
... Trade Association - Continued Statement of Raymond W. Cocchi , president , before the Subcom- mittee on Government Regulation , Senate Select Committee on Small Business , July 12 , 1973 .. Interstate and Foreign Commerce Committee ...
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자주 나오는 단어 및 구문
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