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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39개의 결과 중 1 - 5개
863 페이지
... Blocks - Are the Institutions Wrecking Wall Street ? " . Commission discount for institutional orders above the $ 300,000 level__ 1949 678 714 Editorial from Business Week dated June 2 , 1973 , entitled ' Giants that Rock the Market ...
... Blocks - Are the Institutions Wrecking Wall Street ? " . Commission discount for institutional orders above the $ 300,000 level__ 1949 678 714 Editorial from Business Week dated June 2 , 1973 , entitled ' Giants that Rock the Market ...
874 페이지
... block positioning or marketmaker transactions , for transactions in exempted securities , for transactions by odd - lot dealers and specialists ( within the limitations of subsection ( b ) of this section ) , and for such other ...
... block positioning or marketmaker transactions , for transactions in exempted securities , for transactions by odd - lot dealers and specialists ( within the limitations of subsection ( b ) of this section ) , and for such other ...
919 페이지
... block positioning firms , to buy and sell securities for their own accounts on occasions when the other side of a public order is not readily available . This can be done by encouraging all such dealers to compete actively within the ...
... block positioning firms , to buy and sell securities for their own accounts on occasions when the other side of a public order is not readily available . This can be done by encouraging all such dealers to compete actively within the ...
921 페이지
... block positioners . Such competition will mitigate the very difficult problem which now exists of developing and enforcing rules designed not only to prevent specialists from abusing their privileged position , but also to motivate them ...
... block positioners . Such competition will mitigate the very difficult problem which now exists of developing and enforcing rules designed not only to prevent specialists from abusing their privileged position , but also to motivate them ...
924 페이지
... block positioners and , under certain circumstances , market makers who are exchange members but are not 17 / specialists in the traditional sense . Members of the 17 / It should be noted that Approach I of the Central Market System ...
... block positioners and , under certain circumstances , market makers who are exchange members but are not 17 / specialists in the traditional sense . Members of the 17 / It should be noted that Approach I of the Central Market System ...
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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