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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100개의 결과 중 1 - 5개
856 페이지
... executed through broker - dealers_- Letter dated August 21 , 1973 , from Walter D. Vinyard , Jr. , counsel , to Chairman Moss , respecting the finding to be required of the SEC in order to permit continuation of fixed rates , and ...
... executed through broker - dealers_- Letter dated August 21 , 1973 , from Walter D. Vinyard , Jr. , counsel , to Chairman Moss , respecting the finding to be required of the SEC in order to permit continuation of fixed rates , and ...
874 페이지
... execution before taking an order off an exchange floor.10 If so , this provision of the bill , by itself , would have an adverse effect on the present exchange auction markets . Leaving aside the dis- criminatives already noted , this ...
... execution before taking an order off an exchange floor.10 If so , this provision of the bill , by itself , would have an adverse effect on the present exchange auction markets . Leaving aside the dis- criminatives already noted , this ...
892 페이지
... execution . Such re- quirement guarantees to the public customer that through the auction process he will have the opportunity to meet his counterpart inside the dealer's spread . Only through the auction process can the public customer ...
... execution . Such re- quirement guarantees to the public customer that through the auction process he will have the opportunity to meet his counterpart inside the dealer's spread . Only through the auction process can the public customer ...
893 페이지
... execute orders away from the auction markets . This would allow them to bypass the auc- tion process and go directly ... execution of their customers ' business would be se- verely damaging to all public customers . I urge you to strike ...
... execute orders away from the auction markets . This would allow them to bypass the auc- tion process and go directly ... execution of their customers ' business would be se- verely damaging to all public customers . I urge you to strike ...
900 페이지
... execute a trans- action for his customer . He gets a stop on the lower side , and then he searches the crowd for the best execution he can get . The SEC does not have any cognizance of the crowd . So I am reluct- ant , Mr. Curtis , I ...
... execute a trans- action for his customer . He gets a stop on the lower side , and then he searches the crowd for the best execution he can get . The SEC does not have any cognizance of the crowd . So I am reluct- ant , Mr. Curtis , I ...
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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