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
... questions on total income from investments and underwritings__ . Letter dated July 13 , 1973 , from Walter D. Vinyard , Jr. , counsel , to Congressman McCollister , concerning amount of portfolio trading executed through broker ...
... questions on total income from investments and underwritings__ . Letter dated July 13 , 1973 , from Walter D. Vinyard , Jr. , counsel , to Congressman McCollister , concerning amount of portfolio trading executed through broker ...
1763 페이지
... questions re size of average transaction on Amex during past 5 years , and comparative impact on Amex and NYSE of withdrawal of individual investor from the market__ Letter dated September 7 , 1973 , from Paul Kolton , chairman , to ...
... questions re size of average transaction on Amex during past 5 years , and comparative impact on Amex and NYSE of withdrawal of individual investor from the market__ Letter dated September 7 , 1973 , from Paul Kolton , chairman , to ...
1764 페이지
... questions asked during hearing . Memorandum to statement of William Donaldson , proposing various changes in section 205 of H.R. 5050_ Federal Reserve System : Letter dated October 3 , 1973 , from Frederic Solomon , Director , Division ...
... questions asked during hearing . Memorandum to statement of William Donaldson , proposing various changes in section 205 of H.R. 5050_ Federal Reserve System : Letter dated October 3 , 1973 , from Frederic Solomon , Director , Division ...
1765 페이지
... question of whether high - level staff appointments at the SEC are dictated by the White House__ . Exchange of ... questions in writing from the staff__ Letter dated July 18 , 1973 , from Chairman Moss to Hon . Robert E. Hampton ...
... question of whether high - level staff appointments at the SEC are dictated by the White House__ . Exchange of ... questions in writing from the staff__ Letter dated July 18 , 1973 , from Chairman Moss to Hon . Robert E. Hampton ...
1766 페이지
... questions on sections 6A and 23 ( A ) of H.R. 5050 Letter dated June 28 , 1973 , from Milton H. Cohen , counsel , to Chairman Moss , suggesting language to be incorporated in section 11A of H.R. 5050 Mitchum , Jones & Templeton , Inc ...
... questions on sections 6A and 23 ( A ) of H.R. 5050 Letter dated June 28 , 1973 , from Milton H. Cohen , counsel , to Chairman Moss , suggesting language to be incorporated in section 11A of H.R. 5050 Mitchum , Jones & Templeton , Inc ...
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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