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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64개의 결과 중 1 - 5개
869 페이지
... believe could be acted upon without delay . Most of these provisions of the bill are included in title III , “ Fi- nancial Responsibility ; Regulation of Brokers , Dealers and Members ; Reports and Examination , " and title V ...
... believe could be acted upon without delay . Most of these provisions of the bill are included in title III , “ Fi- nancial Responsibility ; Regulation of Brokers , Dealers and Members ; Reports and Examination , " and title V ...
876 페이지
... believe that he has one . 20 Therefore , the exchanges could not change any rule - or even issue a circular interpreting an existing rule for that matter without wait- ing at least 60 days . If the SEC decided to take action , the ...
... believe that he has one . 20 Therefore , the exchanges could not change any rule - or even issue a circular interpreting an existing rule for that matter without wait- ing at least 60 days . If the SEC decided to take action , the ...
877 페이지
... believe a case has yet been made for granting the SEC such authority.23 In addition to the broad SEC authority over exchange rules and actions , title II contains provisions relating to disciplinary actions taken by an exchange.24 The ...
... believe a case has yet been made for granting the SEC such authority.23 In addition to the broad SEC authority over exchange rules and actions , title II contains provisions relating to disciplinary actions taken by an exchange.24 The ...
878 페이지
... believe that Congress should legislate the precise terms of such a reorganization for all exchanges . There are a number of reasons for this , the first being that each board needs a degree of flexibility to adapt its procedures to its ...
... believe that Congress should legislate the precise terms of such a reorganization for all exchanges . There are a number of reasons for this , the first being that each board needs a degree of flexibility to adapt its procedures to its ...
886 페이지
... believe is , fully prepared to cooperate in a search for the best answers to the challenges which we face . But the changes to be made must be constructive and must be realistic . They must be helpful and not destructive . The heart of ...
... believe is , fully prepared to cooperate in a search for the best answers to the challenges which we face . But the changes to be made must be constructive and must be realistic . They must be helpful and not destructive . The heart of ...
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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