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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55개의 결과 중 1 - 5개
863 페이지
... 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 results of survey on membership views .. Letter dated September ...
... 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 results of survey on membership views .. Letter dated September ...
878 페이지
... profit corporation have the ultimate power to amend its certificate of incor- poration and bylaws . Indeed , every corporation listed on the New York Stock Exchange must meet the basic requirement of submitting important actions to ...
... profit corporation have the ultimate power to amend its certificate of incor- poration and bylaws . Indeed , every corporation listed on the New York Stock Exchange must meet the basic requirement of submitting important actions to ...
880 페이지
... profits or unreasonable rates of commissions or other charges . " 42 This language implies that while the exchange and the SEC may no longer engage in " the fixing of reasonable rates of commission , " as they may presently do under sec ...
... profits or unreasonable rates of commissions or other charges . " 42 This language implies that while the exchange and the SEC may no longer engage in " the fixing of reasonable rates of commission , " as they may presently do under sec ...
883 페이지
... profits of $ 580 million . The net change — that is , the first 5 months of 1972 versus the first 5 months of 1973 - is a decline in profitability of close to three- quarters of a billion dollars . We have no reason to assume that the ...
... profits of $ 580 million . The net change — that is , the first 5 months of 1972 versus the first 5 months of 1973 - is a decline in profitability of close to three- quarters of a billion dollars . We have no reason to assume that the ...
910 페이지
... profit or other charges . You characterize this as another example of additional responsibility imposed on the exchanges . As Mr. Calvin is aware , that language is taken verbatim out of sec- tion 15 ( a ) of the 1934 act . We contacted ...
... profit or other charges . You characterize this as another example of additional responsibility imposed on the exchanges . As Mr. Calvin is aware , that language is taken verbatim out of sec- tion 15 ( a ) of the 1934 act . We contacted ...
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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