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
... Securities Depositories . Theobald , Thomas C. , American Bankers Association . Thomas , Walter F. , chairman ... transactions paid by the First National Bank of Boston .. Letter dated October 5 , 1973 , from Robert L. Bevan , assistant ...
... Securities Depositories . Theobald , Thomas C. , American Bankers Association . Thomas , Walter F. , chairman ... transactions paid by the First National Bank of Boston .. Letter dated October 5 , 1973 , from Robert L. Bevan , assistant ...
1766 페이지
... Securities Dealers , Inc .: Page 1984 1541 1734 1766 1560 531 534 1768 ... Transactions__ 1853 Letter dated November 17 , 1972 , from National Clearing ... Securities , Senate Com- mittee on Banking , Housing and Urban Affairs , July 1973 ...
... Securities Dealers , Inc .: Page 1984 1541 1734 1766 1560 531 534 1768 ... Transactions__ 1853 Letter dated November 17 , 1972 , from National Clearing ... Securities , Senate Com- mittee on Banking , Housing and Urban Affairs , July 1973 ...
1767 페이지
... Stock Exchange : Comparison of 1972 financial and other data to that of other do ... Securities Markets , address by James M. Roche , director , General Motors ... transactions effected pursuant to rule 394 ( b ) from January 1969 to June ...
... Stock Exchange : Comparison of 1972 financial and other data to that of other do ... Securities Markets , address by James M. Roche , director , General Motors ... transactions effected pursuant to rule 394 ( b ) from January 1969 to June ...
1768 페이지
... Exchange Chairman Offers " Fishbowl " Plan to Bring All Securities Transactions Out Into the Open . Schotland , Prof. Roy A. , Georgetown University Law Center , letter dated June 14 , 1973 , to Congressman McCollister , concerning impo ...
... Exchange Chairman Offers " Fishbowl " Plan to Bring All Securities Transactions Out Into the Open . Schotland , Prof. Roy A. , Georgetown University Law Center , letter dated June 14 , 1973 , to Congressman McCollister , concerning impo ...
1769 페이지
... Securities and Exchange Commission - Continued Page Supplemental budget ... transactions___ 672 Exhibit 9 - Sales and redemptions of mutual funds , 1966 ... securities processing system . The decline of individual participation in the ...
... Securities and Exchange Commission - Continued Page Supplemental budget ... transactions___ 672 Exhibit 9 - Sales and redemptions of mutual funds , 1966 ... securities processing system . The decline of individual participation in the ...
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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