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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96개의 결과 중 1 - 5개
854 페이지
... specialist , National Stock Exchange .. Girard , John D. , president , National Stock Exchange . Griswold , Hon . Erwin N. , Solicitor General of the United States , Department of Justice- 1943 1576 492 492 272 619 717 1525 651 822 ...
... specialist , National Stock Exchange .. Girard , John D. , president , National Stock Exchange . Griswold , Hon . Erwin N. , Solicitor General of the United States , Department of Justice- 1943 1576 492 492 272 619 717 1525 651 822 ...
862 페이지
... specialist , to Chairman Moss , clarifying his pre- Government employment political activities . Letter dated October 12 , 1973 , from Lee A. Pickard , Director , Division of Market Regulation , responding to Chairman Moss ' inquiry re ...
... specialist , to Chairman Moss , clarifying his pre- Government employment political activities . Letter dated October 12 , 1973 , from Lee A. Pickard , Director , Division of Market Regulation , responding to Chairman Moss ' inquiry re ...
865 페이지
... specialist . Girard , John D. , president . Smidt , Seymour , public governor . New York City Teachers ' Retirement Board , William T. Scott , executive director . New York Clearing House Association : Lee , John F. , executive vice ...
... specialist . Girard , John D. , president . Smidt , Seymour , public governor . New York City Teachers ' Retirement Board , William T. Scott , executive director . New York Clearing House Association : Lee , John F. , executive vice ...
868 페이지
... specialist firm of the New York Stock Exchange and a for- mer exchange chairman . In terms of service , he is the senior director on our board . Mr. Frank's entire business career has been in the securi- ties industry , and he has been ...
... specialist firm of the New York Stock Exchange and a for- mer exchange chairman . In terms of service , he is the senior director on our board . Mr. Frank's entire business career has been in the securi- ties industry , and he has been ...
874 페이지
... specialists ( within the limitations of subsection ( b ) of this section ) , and for such other transactions as the Commission may deem necessary or appropriate in the public interest or for the protection of investors . Rules under ...
... specialists ( within the limitations of subsection ( b ) of this section ) , and for such other transactions as the Commission may deem necessary or appropriate in the public interest or for the protection of investors . Rules under ...
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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