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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863 페이지
... participation in the market .. 697 1957 663 1948 712 Securities Processing Services , Inc. , letter dated May 4 , 1973 , with appendix , from Michael V. Caggiano , president , to Interstate and Foreign Commerce Committee_ _ 1986 Stock ...
... participation in the market .. 697 1957 663 1948 712 Securities Processing Services , Inc. , letter dated May 4 , 1973 , with appendix , from Michael V. Caggiano , president , to Interstate and Foreign Commerce Committee_ _ 1986 Stock ...
868 페이지
... participated . We therefore welcome and appreciate this opportunity to present , in detail , our views on H.R. 5050. I should add that we further appre- ciate the subcommittee's indulgence in allowing us adequate time to complete and ...
... participated . We therefore welcome and appreciate this opportunity to present , in detail , our views on H.R. 5050. I should add that we further appre- ciate the subcommittee's indulgence in allowing us adequate time to complete and ...
881 페이지
... participating in the third market . We hear a great deal from the supporters of the NASDAQ system about how NASDAQ is changing all that . But to date , certainly NASDAQ has clearly promised infinitely more than it has delivered . One ...
... participating in the third market . We hear a great deal from the supporters of the NASDAQ system about how NASDAQ is changing all that . But to date , certainly NASDAQ has clearly promised infinitely more than it has delivered . One ...
891 페이지
... participate in the system and to submit to its regulation . It should depend upon the initiatives of the private sector , subject of course to Government oversight . It should create the machinery for making policy and en- forcing ...
... participate in the system and to submit to its regulation . It should depend upon the initiatives of the private sector , subject of course to Government oversight . It should create the machinery for making policy and en- forcing ...
893 페이지
... resultant failure of brokerage firms . Today's problems in the industry are , in my opinion , for far dif- on the part of the individual investor , undoubtedly caused ferent reasons , most important of which is the lack of participation ...
... resultant failure of brokerage firms . Today's problems in the industry are , in my opinion , for far dif- on the part of the individual investor , undoubtedly caused ferent reasons , most important of which is the lack of participation ...
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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