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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46개의 결과 중 1 - 5개
858 페이지
... recommendations _ _ 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel , to Chairman Moss , discussing percentage of trades of $ 300,000 or over handled by investment firms among the first 10 percent in size . __ ...
... recommendations _ _ 1660 Letter dated August 13 , 1973 , from B. F. Siegel , staff counsel , to Chairman Moss , discussing percentage of trades of $ 300,000 or over handled by investment firms among the first 10 percent in size . __ ...
860 페이지
... recommendations of Subcommittee on Insurance and Protection_ Report and recommendations concerning a financial industry number system ( FINS ) - Statement before the Subcommittee on Securities , Senate Com- mittee on Banking , Housing ...
... recommendations of Subcommittee on Insurance and Protection_ Report and recommendations concerning a financial industry number system ( FINS ) - Statement before the Subcommittee on Securities , Senate Com- mittee on Banking , Housing ...
861 페이지
... Recommendations regarding foreign access to the U.S. se- curities markets . 1102 1349 1110 1049 1084 The Urgent Need for a Securities Commission Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange ...
... Recommendations regarding foreign access to the U.S. se- curities markets . 1102 1349 1110 1049 1084 The Urgent Need for a Securities Commission Rate Adjust- ment in an Inflationary Setting , a report to the Securities and Exchange ...
869 페이지
... recommendations published in the subcommittee's report . We also held special informational meet- ings for the exchange membership - in October 1972 and again in February 1973 - to discuss many of the subcommittee's principal rec ...
... recommendations published in the subcommittee's report . We also held special informational meet- ings for the exchange membership - in October 1972 and again in February 1973 - to discuss many of the subcommittee's principal rec ...
871 페이지
... Recommendations Re- garding Foreign Access to the U.S. Securities Markets , " for the hear- ing record . [ See appendix , p . 1084. ] One further point we would like to make before moving on to con- sider the provisions of title II of ...
... Recommendations Re- garding Foreign Access to the U.S. Securities Markets , " for the hear- ing record . [ See appendix , p . 1084. ] One further point we would like to make before moving on to con- sider the provisions of title II of ...
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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