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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859 페이지
... membership , and con- trasting confidence level between commercial bankers and broker executives as indicated in ... member firms of the Association___ 747 749 Exhibit C to Mr. Casey's statement - Association directory , Additional ...
... membership , and con- trasting confidence level between commercial bankers and broker executives as indicated in ... member firms of the Association___ 747 749 Exhibit C to Mr. Casey's statement - Association directory , Additional ...
863 페이지
... member firm pretax income . 674 Exhibit 12 - Monthly overall profit data for all member firms ... Exhibit 13 - Members of SIA that merged or dissolved during the 675 period July 1 , 1972 , to June 12 , 1973 ... 676 661 Extract from ...
... member firm pretax income . 674 Exhibit 12 - Monthly overall profit data for all member firms ... Exhibit 13 - Members of SIA that merged or dissolved during the 675 period July 1 , 1972 , to June 12 , 1973 ... 676 661 Extract from ...
868 페이지
... firms . As the subcommittee knows , Mr. Saul is a former president of the American Stock Exchange , and served for ... membership on exchanges . Mr. Walter N. Frank is senior partner of Walter N. Frank & Co. , a member specialist firm of ...
... firms . As the subcommittee knows , Mr. Saul is a former president of the American Stock Exchange , and served for ... membership on exchanges . Mr. Walter N. Frank is senior partner of Walter N. Frank & Co. , a member specialist firm of ...
883 페이지
... firms are vul- nerable to a recurrence of financial difficulties . A current factor contributing to public awareness ... member organizations , show an aggregate loss for the month of May of $ 38 million . Indeed , during May , nearly 60 ...
... firms are vul- nerable to a recurrence of financial difficulties . A current factor contributing to public awareness ... member organizations , show an aggregate loss for the month of May of $ 38 million . Indeed , during May , nearly 60 ...
884 페이지
... member firms ' compliance with exchange capital requirements . We are , as you know , currently proposing a commission rate in- crease and we testified on these proposals earlier this week at public hearings before the SEC . Again ...
... member firms ' compliance with exchange capital requirements . We are , as you know , currently proposing a commission rate in- crease and we testified on these proposals earlier this week at public hearings before the SEC . Again ...
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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