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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858 페이지
... rates . 1666 H.R. 5050 - Specific recommendations _ _ 1660 Letter dated ... rates for trades in excess of $ 300,000 _ . 1679 1980 1716 1727 Corporate Fiduciary ... Commission : 1758 1746 1821 Possible draft language to clarify section 17A ...
... rates . 1666 H.R. 5050 - Specific recommendations _ _ 1660 Letter dated ... rates for trades in excess of $ 300,000 _ . 1679 1980 1716 1727 Corporate Fiduciary ... Commission : 1758 1746 1821 Possible draft language to clarify section 17A ...
859 페이지
... rates and salesmen's compensation .. 1760 Exchange of correspondence between Chairman Moss and Charles King Mallory , Acting Executive Director , Securities and Exchange Commission , concerning Commission personnel who came to the ...
... rates and salesmen's compensation .. 1760 Exchange of correspondence between Chairman Moss and Charles King Mallory , Acting Executive Director , Securities and Exchange Commission , concerning Commission personnel who came to the ...
860 페이지
... commission rates and what 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 ...
... commission rates and what 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 ...
861 페이지
... Commission Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange Commission 1278 ... rates should be reinstituted , and for the SEC to adopt in judging reasonableness of competitive rates --- Oregon ...
... Commission Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange Commission 1278 ... rates should be reinstituted , and for the SEC to adopt in judging reasonableness of competitive rates --- Oregon ...
862 페이지
... Commission : Comments on titles II , III , and V of H.R. 5050_ Comments on title IV of H.R. 5050___ Page 1449 1452 ... rates of the general schedule , December 15 , 1973 , executive order adjustment_ 379 Policy statement of the Securities and ...
... Commission : Comments on titles II , III , and V of H.R. 5050_ Comments on title IV of H.R. 5050___ Page 1449 1452 ... rates of the general schedule , December 15 , 1973 , executive order adjustment_ 379 Policy statement of the Securities and ...
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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