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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... amendments to rule 15c3-1 . ......... . Memorandum of comments on titles II , III , and V of H.R. 5050- Supplemental statement relating to section 203 of H.R. 5050 _... Ash , Roy L. , Director , Office of Management and Budget ...
... amendments to rule 15c3-1 . ......... . Memorandum of comments on titles II , III , and V of H.R. 5050- Supplemental statement relating to section 203 of H.R. 5050 _... Ash , Roy L. , Director , Office of Management and Budget ...
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... amendment to section 19 ( b ) of the Securities Exchange Act .... Attachment to supplemental statement - Memorandum in sup- port of and proposed amendments to section 36 of the Invest- ment Company Act of 1940 and section 206 of the ...
... amendment to section 19 ( b ) of the Securities Exchange Act .... Attachment to supplemental statement - Memorandum in sup- port of and proposed amendments to section 36 of the Invest- ment Company Act of 1940 and section 206 of the ...
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... Amendments to by - laws of NASD , draft - July 6 , 1973- - - Appendix to prepared statement of Gordon S. Macklin , president_ Comments on H.R. 5050 , dated April 23 , 1973- Details respecting membership of NASD . 609 585 590 613 Letter ...
... Amendments to by - laws of NASD , draft - July 6 , 1973- - - Appendix to prepared statement of Gordon S. Macklin , president_ Comments on H.R. 5050 , dated April 23 , 1973- Details respecting membership of NASD . 609 585 590 613 Letter ...
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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