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
... processing committee , Securities Industry Asso- ciation . Garil , Bernard H. , assistant to the managing partner , Oppenheimer & Co ---- Gilligan , Pat , exchange specialist , National Stock Exchange - _ Girard , John D. , president ...
... processing committee , Securities Industry Asso- ciation . Garil , Bernard H. , assistant to the managing partner , Oppenheimer & Co ---- Gilligan , Pat , exchange specialist , National Stock Exchange - _ Girard , John D. , president ...
1769 페이지
... processing system . The decline of individual participation in the market_ 697 1957 663 1948 712 Securities Processing Services , Inc. , letter dated May 4 , 1973 , with appendix , from Michael V. Caggiano , president , to Interstate ...
... processing system . The decline of individual participation in the market_ 697 1957 663 1948 712 Securities Processing Services , Inc. , letter dated May 4 , 1973 , with appendix , from Michael V. Caggiano , president , to Interstate ...
1771 페이지
... processing committee . Kendall , Leon T. , president . Scribner , Richard O. , general counsel . Whitehead , John C. , chairman . Weeden & Co .: Weeden , Donald E. , chairman of the board . Weeden , John D. , executive vice president ...
... processing committee . Kendall , Leon T. , president . Scribner , Richard O. , general counsel . Whitehead , John C. , chairman . Weeden & Co .: Weeden , Donald E. , chairman of the board . Weeden , John D. , executive vice president ...
1777 페이지
... processing of securities related issues in the courts . The first item concerns proposed section 17 ( d ) of section 305 , clari- fying the Commission's authority to adopt rules concerning a con- solidated tape and a composite quotation ...
... processing of securities related issues in the courts . The first item concerns proposed section 17 ( d ) of section 305 , clari- fying the Commission's authority to adopt rules concerning a con- solidated tape and a composite quotation ...
1778 페이지
... processing of securities transactions and would provide a particularly compre- hensive and effective regulatory framework for the development of an integrated national system for the prompt and accurate processing of securities ...
... processing of securities transactions and would provide a particularly compre- hensive and effective regulatory framework for the development of an integrated national system for the prompt and accurate processing of securities ...
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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