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
... Companies .. Frank , Walter N. , industry director , New York Stock Exchange . 867 , 892 Friedman , Daniel M. , First Deputy Solicitor General , Department of Justice .. Gardiner , Robert M. , chairman , governing council and chairman ...
... Companies .. Frank , Walter N. , industry director , New York Stock Exchange . 867 , 892 Friedman , Daniel M. , First Deputy Solicitor General , Department of Justice .. Gardiner , Robert M. , chairman , governing council and chairman ...
1761 페이지
... Companies Owens , Hugh F. , senior Commissioner , Securities and Exchange Commission ... 867 1686 1599 297 , 401 1699 , 1701 Payne , William E. , executive officer , Public Employees ' Retirement System , State of California_ Peake ...
... Companies Owens , Hugh F. , senior Commissioner , Securities and Exchange Commission ... 867 1686 1599 297 , 401 1699 , 1701 Payne , William E. , executive officer , Public Employees ' Retirement System , State of California_ Peake ...
1762 페이지
... Companies___ 1599 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 ...
... Companies___ 1599 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 ...
1764 페이지
... Companies : Analysis of potential reduction in brokerage industry annual income as a result of fully negotiated rates . 1666 H.R. 5050 - Specific recommendations _ _ 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel ...
... Companies : Analysis of potential reduction in brokerage industry annual income as a result of fully negotiated rates . 1666 H.R. 5050 - Specific recommendations _ _ 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel ...
1770 페이지
... Companies : Fortas , Abe , general counsel . O'Neill , James J. , executive director . Siegel , Barry , staff . Stephenson , Revis , member , executive committee . Wood , C. V. , Jr. , chairman . Zeder , Fred M. , member , executive ...
... Companies : Fortas , Abe , general counsel . O'Neill , James J. , executive director . Siegel , Barry , staff . Stephenson , Revis , member , executive committee . Wood , C. V. , Jr. , chairman . Zeder , Fred M. , member , executive ...
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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