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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854 페이지
... Securities Industry Com- Page mittee ( BASIC ) . Bigler , Harold E. , American Life Insurance Association__ Blanchard , Alan , Acting Executive Director - Designate , Securities and Exchange Commission __- 1824 , 1872 761 401 1738 Boyd ...
... Securities Industry Com- Page mittee ( BASIC ) . Bigler , Harold E. , American Life Insurance Association__ Blanchard , Alan , Acting Executive Director - Designate , Securities and Exchange Commission __- 1824 , 1872 761 401 1738 Boyd ...
855 페이지
... Securities Dealers , Inc. Mason , Paul , Jr. , associate general counsel ... Securities and Exchange Commission_ 867 1686 1599 297 , 401 1699 , 1701 Payne ... Industry Committee ( BASIC ) . Potts , Ramsay D. , counsel , Investment ...
... Securities Dealers , Inc. Mason , Paul , Jr. , associate general counsel ... Securities and Exchange Commission_ 867 1686 1599 297 , 401 1699 , 1701 Payne ... Industry Committee ( BASIC ) . Potts , Ramsay D. , counsel , Investment ...
856 페이지
... Securities Industry Association . Whitten , Stanley , Washington area representative , Association of Investment Brokers ... 499 619 651 Additional material supplied for the record by- American Bankers Association : Zeder , Fred M ...
... Securities Industry Association . Whitten , Stanley , Washington area representative , Association of Investment Brokers ... 499 619 651 Additional material supplied for the record by- American Bankers Association : Zeder , Fred M ...
857 페이지
... Securities Industry Committee ( BASIC ) : Letter dated May 8 , 1973 , from James J. Needham , chairman , NYSE , to John M. Meyer , Jr. , chairman , BASIĆ , referring to certain provisions of BASIC's model bill Memorandum of Comment on ...
... Securities Industry Committee ( BASIC ) : Letter dated May 8 , 1973 , from James J. Needham , chairman , NYSE , to John M. Meyer , Jr. , chairman , BASIĆ , referring to certain provisions of BASIC's model bill Memorandum of Comment on ...
859 페이지
... Securities Industry Association , re fixed minimum rates , institutional membership , and con- trasting confidence level between commercial bankers and broker executives as indicated in Harris poll of 1973 . Letter dated July 16 , 1973 ...
... Securities Industry Association , re fixed minimum rates , institutional membership , and con- trasting confidence level between commercial bankers and broker executives as indicated in Harris poll of 1973 . Letter dated July 16 , 1973 ...
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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