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
... issue sales , 1970–73_ 1473 Supplemental statement ... 1467 Committee of Publicly Owned Companies : Analysis of potential reduction in brokerage industry annual income as a result of fully negotiated rates . 1666 H.R. 5050 - Specific ...
... issue sales , 1970–73_ 1473 Supplemental statement ... 1467 Committee of Publicly Owned Companies : Analysis of potential reduction in brokerage industry annual income as a result of fully negotiated rates . 1666 H.R. 5050 - Specific ...
861 페이지
... issues affecting the struc- ture of a central exchange market for listed securities — a discussion paper-- Recommendations regarding foreign access to the U.S. se- curities markets . 1102 1349 1110 1049 1084 The Urgent Need for a ...
... issues affecting the struc- ture of a central exchange market for listed securities — a discussion paper-- Recommendations regarding foreign access to the U.S. se- curities markets . 1102 1349 1110 1049 1084 The Urgent Need for a ...
867 페이지
... issues raised by the legislation now before the subcommittee . I would like to intro- duce them to you now in the order in which they will testify . Mr. James M. Roche is a public director of the exchange . He also serves as a director ...
... issues raised by the legislation now before the subcommittee . I would like to intro- duce them to you now in the order in which they will testify . Mr. James M. Roche is a public director of the exchange . He also serves as a director ...
869 페이지
... issues raised by the sub- committee's report and H.R. 5050 . SUPPORT OF TITLES III AND V Shortly after H.R. 5050 was filed on March 1 , the board undertook a detailed review of the bill . Initially , we focused on those provisions which ...
... issues raised by the sub- committee's report and H.R. 5050 . SUPPORT OF TITLES III AND V Shortly after H.R. 5050 was filed on March 1 , the board undertook a detailed review of the bill . Initially , we focused on those provisions which ...
870 페이지
... issues involved in implementing the concept of a cen- tral market system , and , second , to provide a sound basis for discus- sions with all interested parties from which it may be possible to develop a cooperative program for bringing ...
... issues involved in implementing the concept of a cen- tral market system , and , second , to provide a sound basis for discus- sions with all interested parties from which it may be possible to develop a cooperative program for bringing ...
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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