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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63개의 결과 중 1 - 5개
873 페이지
... person acting as a broker to the extent that such limitations are found by the Commission to be justified by reason of limitation in the physical capacity of the exchange . " ( Emphasis added ) H.R. 5050 sec- tion 202 amending act ...
... person acting as a broker to the extent that such limitations are found by the Commission to be justified by reason of limitation in the physical capacity of the exchange . " ( Emphasis added ) H.R. 5050 sec- tion 202 amending act ...
874 페이지
... person . " A broker - dealer member of an exchange could be required to " for- feit and pay over to the Treasury of the United States any commis- sion or other charge " made in violation of the restrictions imposed upon him in dealing ...
... person . " A broker - dealer member of an exchange could be required to " for- feit and pay over to the Treasury of the United States any commis- sion or other charge " made in violation of the restrictions imposed upon him in dealing ...
876 페이지
... person adversely affected " could challenge the SEC's action in a Federal court of appeals . " The SEC , not the person ad- versely affected , would then have the burden of demonstrating that its action conformed to a series of near ...
... person adversely affected " could challenge the SEC's action in a Federal court of appeals . " The SEC , not the person ad- versely affected , would then have the burden of demonstrating that its action conformed to a series of near ...
877 페이지
... persons affected by exchange disciplinary actions should have a right of Commission review , it does not believe that a ... person was a member.27 REORGANIZATION OF GOVERNING BOARDS OF ALL EXCHANGES MANDATED While title II effectively ...
... persons affected by exchange disciplinary actions should have a right of Commission review , it does not believe that a ... person was a member.27 REORGANIZATION OF GOVERNING BOARDS OF ALL EXCHANGES MANDATED While title II effectively ...
879 페이지
... persons of standing to serve on such boards by reducing their authority and increasing their potential liability exposure . If a publicly oriented board is a good idea - and we certainly agree that it is then it should follow that such ...
... persons of standing to serve on such boards by reducing their authority and increasing their potential liability exposure . If a publicly oriented board is a good idea - and we certainly agree that it is then it should follow that such ...
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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