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 |
도서 본문에서
44개의 결과 중 1 - 5개
867 페이지
... continuing our second stage of hearings on H.R. 5050 , and we are most pleased to welcome as a panel of witnesses before this committee the representatives of the New York Stock Exchange , and its chairman , Mr. James Needham . Mr ...
... continuing our second stage of hearings on H.R. 5050 , and we are most pleased to welcome as a panel of witnesses before this committee the representatives of the New York Stock Exchange , and its chairman , Mr. James Needham . Mr ...
874 페이지
... continue as or become members - to bring their transactions in listed securities to an exchange for possible execution before taking an order off an exchange floor.10 If so , this provision of the bill , by itself , would have an ...
... continue as or become members - to bring their transactions in listed securities to an exchange for possible execution before taking an order off an exchange floor.10 If so , this provision of the bill , by itself , would have an ...
875 페이지
... continuing to utilize cooperative regu- lation . To abandon cooperative regulation would be disruptive overreaction . " 12 We agree with this statement - and submit that these provisions of H.R. 5050 do abandon cooperative regulation as ...
... continuing to utilize cooperative regu- lation . To abandon cooperative regulation would be disruptive overreaction . " 12 We agree with this statement - and submit that these provisions of H.R. 5050 do abandon cooperative regulation as ...
879 페이지
... continuing as members of an exchange . 34 Act sec . 78f ( a ) ( 1 ) . 35 Proposed sec . 6 , H.R. 5050 , sec . 202 amending act . Sec . 79 ( f ) . 38 See note 3 supra . 37 Compare proposed sec . 6 ( m ) , H.R. 5050 , sec . 202 , with ...
... continuing as members of an exchange . 34 Act sec . 78f ( a ) ( 1 ) . 35 Proposed sec . 6 , H.R. 5050 , sec . 202 amending act . Sec . 79 ( f ) . 38 See note 3 supra . 37 Compare proposed sec . 6 ( m ) , H.R. 5050 , sec . 202 , with ...
887 페이지
... continue to preserve and protect the proven effectiveness of our capital markets in the interest of our investors . A sound , viable industry , combined with adequate protection for investors who risk their capital is required . Changes ...
... continue to preserve and protect the proven effectiveness of our capital markets in the interest of our investors . A sound , viable industry , combined with adequate protection for investors who risk their capital is required . Changes ...
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
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