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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... rates , and standard of review a court should follow in reviewing such a SEC determination American Life Insurance Association : Letter dated April 23 , 1973 , with attachments , to Chairman Moss , commenting on H.R. 5050 _ - _ . 737 ...
... rates , and standard of review a court should follow in reviewing such a SEC determination American Life Insurance Association : Letter dated April 23 , 1973 , with attachments , to Chairman Moss , commenting on H.R. 5050 _ - _ . 737 ...
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... rates . 1666 H.R. 5050 - Specific recommendations _ _ 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel , to Chairman Moss , discussing percentage of trades of $ 300,000 or over handled by investment firms among the ...
... rates . 1666 H.R. 5050 - Specific recommendations _ _ 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel , to Chairman Moss , discussing percentage of trades of $ 300,000 or over handled by investment firms among the ...
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... rates and salesmen's compensation__ Exchange of correspondence between Chairman Moss and Charles King Mallory , Acting Executive Director , Securities and Exchange Commission , concerning Commission personnel who came to the agency from ...
... rates and salesmen's compensation__ Exchange of correspondence between Chairman Moss and Charles King Mallory , Acting Executive Director , Securities and Exchange Commission , concerning Commission personnel who came to the agency from ...
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... rates and what standards should be imposed . Kansas Public Employees Retirement System , letter dated July 18 , 1973 ... rate increase and its effect on small investors , and responses thereto.- Letter dated July 11 , 1972 , from Mr ...
... rates and what standards should be imposed . Kansas Public Employees Retirement System , letter dated July 18 , 1973 ... rate increase and its effect on small investors , and responses thereto.- Letter dated July 11 , 1972 , from Mr ...
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... Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange Commission _ _ . Equal or ... rates-- Oregon , State of : 1582 1597 Letter dated September 27 , 1973 , from James A. Redden , State treasurer , to ...
... Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange Commission _ _ . Equal or ... rates-- Oregon , State of : 1582 1597 Letter dated September 27 , 1973 , from James A. Redden , State treasurer , to ...
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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