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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67개의 결과 중 1 - 5개
1762 페이지
... Standards " Average brokerage fees as a percentage of the dollar value of transactions paid by the First National ... standard of review a court should follow in reviewing such a SEC determination American Life Insurance Association ...
... Standards " Average brokerage fees as a percentage of the dollar value of transactions paid by the First National ... standard of review a court should follow in reviewing such a SEC determination American Life Insurance Association ...
1765 페이지
... Mr. Casey's statement - Standards of practice for member firms of the Association . 747 749 Exhibit C to Mr. Casey's statement - Association directory , 1972-73_ 751 Additional material supplied for the record by - Continued Johnson.
... Mr. Casey's statement - Standards of practice for member firms of the Association . 747 749 Exhibit C to Mr. Casey's statement - Association directory , 1972-73_ 751 Additional material supplied for the record by - Continued Johnson.
1766 페이지
... standards should be imposed . Kansas Public Employees Retirement System , letter dated July 18 , 1973 , from John K. Corkhill , executive secretary , to Chairman Moss , supporting H.R. 5050___ Kohlmeyer , Herman S. , senior partner ...
... standards should be imposed . Kansas Public Employees Retirement System , letter dated July 18 , 1973 , from John K. Corkhill , executive secretary , to Chairman Moss , supporting H.R. 5050___ Kohlmeyer , Herman S. , senior partner ...
1774 페이지
... and enforcing rules , no ex- press exemption from the antitrust laws is provided . Thus any implied exemption is only allowable where absolutely " necessary " to the work- ing of the act and the necessity standard is a 1774.
... and enforcing rules , no ex- press exemption from the antitrust laws is provided . Thus any implied exemption is only allowable where absolutely " necessary " to the work- ing of the act and the necessity standard is a 1774.
1775 페이지
... standard is a rigid one . The burden is not lightly overcome . Judge McLaren last month had occasion to consider the question anew in his ruling ... standards of compe- tency and responsibility . Today , as you know , there is still an 1775.
... standard is a rigid one . The burden is not lightly overcome . Judge McLaren last month had occasion to consider the question anew in his ruling ... standards of compe- tency and responsibility . Today , as you know , there is still an 1775.
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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