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 |
µµ¼ º»¹®¿¡¼
46°³ÀÇ °á°ú Áß 1 - 5°³
856 ÆäÀÌÁö
... NASD To Propose Rules To Tighten Broker Standards " . Average brokerage fees as a percentage of the dollar value of transactions paid by the First National Bank of Boston .. Letter dated October 5 , 1973 , from Robert L. Bevan ...
... NASD To Propose Rules To Tighten Broker Standards " . Average brokerage fees as a percentage of the dollar value of transactions paid by the First National Bank of Boston .. Letter dated October 5 , 1973 , from Robert L. Bevan ...
859 ÆäÀÌÁö
... NASD , Inc. , requesting comments as to whether an article in Institutional Investor magazine of July 1971 accurately describes the situation regarding abuses in handling quotations on the NASDAQ system . 793 390 271 393 317 694 818 422 ...
... NASD , Inc. , requesting comments as to whether an article in Institutional Investor magazine of July 1971 accurately describes the situation regarding abuses in handling quotations on the NASDAQ system . 793 390 271 393 317 694 818 422 ...
860 ÆäÀÌÁö
... NASD , draft - July 6 , 1973_ 609 Appendix to prepared statement of Gordon S. Macklin , president_ Comments on H. R. 5050 , dated April 23 , 1973 . Details respecting membership of NASD 585 590 613 Letter dated September 7 , 1973 , from ...
... NASD , draft - July 6 , 1973_ 609 Appendix to prepared statement of Gordon S. Macklin , president_ Comments on H. R. 5050 , dated April 23 , 1973 . Details respecting membership of NASD 585 590 613 Letter dated September 7 , 1973 , from ...
877 ÆäÀÌÁö
... NASD action , but the SEC could call a disciplinary matter up before it on its own motion.25 The Senate Securities Subcommittee also commented on this pro- posal in its study report , stating : The SEC's request for authority to ...
... NASD action , but the SEC could call a disciplinary matter up before it on its own motion.25 The Senate Securities Subcommittee also commented on this pro- posal in its study report , stating : The SEC's request for authority to ...
879 ÆäÀÌÁö
... NASD , could be more restrictive than membership on an exchange . If so , this ap- proach - which , hopefully , is a drafting oversight - is a complete re- versal of the present market organization and statutory arrangement . However ...
... NASD , could be more restrictive than membership on an exchange . If so , this ap- proach - which , hopefully , is a drafting oversight - is a complete re- versal of the present market organization and statutory arrangement . However ...
±âŸ ÃâÆǺ» - ¸ðµÎ º¸±â
ÀÚÁÖ ³ª¿À´Â ´Ü¾î ¹× ±¸¹®
Action Oriented amending Amex auction process average banks bid or offer bids and offers block Broker Oriented broker-dealers brokerage firms capital central market system Chairman Moss commission rates Committee competitive commission consolidated tape costs dealer market Decision Makers 000 directors ECKHARDT effect Exchange Commission exchange members exchange rules Exchange's execution Financial Decision Makers foreign fourth market institutions interest investment last sale Letter dated limit orders listed securities market makers market-makers member firms member organization mutual funds NASD NASDAQ national securities exchange NEEDHAM nonmember NYSE member odd-lot dealer operations Oriented Investors Oriented Total percent permitted portfolio position potential investors problems profits proposed public orders purchase quotation system quote registered regulation regulatory revenues ROWEN Securities and Exchange securities industry securities markets self-regulatory sell orders shares short sale short selling statement subcommittee third market tion transactions York Stock Exchange