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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1762 페이지
... Additional material supplied for the record by- American Bankers Association : Article from Wall Street Journal entitled " NASD To Propose Rules To Tighten Broker Standards " Average brokerage fees as a percentage of the dollar value of ...
... Additional material supplied for the record by- American Bankers Association : Article from Wall Street Journal entitled " NASD To Propose Rules To Tighten Broker Standards " Average brokerage fees as a percentage of the dollar value of ...
1763 페이지
... Additional material supplied for the record by - Continued American Stock Exchange , Inc .: Page 568 , 815 Amex board of governors - biographical data . Letter dated September 6 , 1973 , from Paul Kolton , chairman , to Chairman Moss ...
... Additional material supplied for the record by - Continued American Stock Exchange , Inc .: Page 568 , 815 Amex board of governors - biographical data . Letter dated September 6 , 1973 , from Paul Kolton , chairman , to Chairman Moss ...
1764 페이지
... Additional material supplied for the record by - Continued Committee for the Martin Report : Appendix A to statement - Memorandum in support of proposed amendment to section 19 ( b ) of the Securities Exchange Act .... Attachment to ...
... Additional material supplied for the record by - Continued Committee for the Martin Report : Appendix A to statement - Memorandum in support of proposed amendment to section 19 ( b ) of the Securities Exchange Act .... Attachment to ...
1765 페이지
... Additional material supplied for the record by - Continued Independent Brokers - Dealers Trade Association - Continued Statement of Raymond W. Cocchi , president , before the Subcom- mittee on Government Regulation , Senate Select ...
... Additional material supplied for the record by - Continued Independent Brokers - Dealers Trade Association - Continued Statement of Raymond W. Cocchi , president , before the Subcom- mittee on Government Regulation , Senate Select ...
1766 페이지
... Additional material supplied for the record by - Continued Johnson , Parsons & Kruse , letter dated September 18 , 1973 , from Norman S. Johnson , to Chairman Moss .. Justice Department : Letter dated October 8 , 1973 , from Thomas E ...
... Additional material supplied for the record by - Continued Johnson , Parsons & Kruse , letter dated September 18 , 1973 , from Norman S. Johnson , to Chairman Moss .. Justice Department : Letter dated October 8 , 1973 , from Thomas E ...
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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