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 |
도서 본문에서
49개의 결과 중 1 - 5개
1766 페이지
... Protection _ _ _ _ . Report and recommendations concerning a financial industry number system ( FINS ) . Statement before the Subcommittee on Securities , Senate Com- mittee on Banking , Housing and Urban Affairs , July 1973 , with ...
... Protection _ _ _ _ . Report and recommendations concerning a financial industry number system ( FINS ) . Statement before the Subcommittee on Securities , Senate Com- mittee on Banking , Housing and Urban Affairs , July 1973 , with ...
1767 페이지
... protect the public interest .. New York City Teachers ' Retirement System : Guidelines for investing- Portfolio breakdown .. New York Stock Exchange : Comparison of 1972 financial and other data to that of other do- mestic exchanges ...
... protect the public interest .. New York City Teachers ' Retirement System : Guidelines for investing- Portfolio breakdown .. New York Stock Exchange : Comparison of 1972 financial and other data to that of other do- mestic exchanges ...
1776 페이지
... protect and benefit investors . This has always been a viewpoint shared by the Department of Justice . To be sure , as recently as this past July , Assistant Attorney General Kauper testified before this subcommittee that the ...
... protect and benefit investors . This has always been a viewpoint shared by the Department of Justice . To be sure , as recently as this past July , Assistant Attorney General Kauper testified before this subcommittee that the ...
1777 페이지
... protection . Finally , there is title I of your bill which aims at making the SEC more independent of the executive branch . This is a laudable objec- tive , one which I feel can have lasting benefits to both investors and broker ...
... protection . Finally , there is title I of your bill which aims at making the SEC more independent of the executive branch . This is a laudable objec- tive , one which I feel can have lasting benefits to both investors and broker ...
1779 페이지
... protecting investors against loss of securities and cash , the need to maintain the financial and operational responsibility of broker - dealers , the need for greater confidence in our securities markets and the expectation that the ...
... protecting investors against loss of securities and cash , the need to maintain the financial and operational responsibility of broker - dealers , the need for greater confidence in our securities markets and the expectation that the ...
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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