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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861 페이지
... tape system for listed securities . 1003 19 Extract from article entitled " Our Kind of a Central Auction Market System , ' the Commercial and Financial Chronicle , September 20 , 1973_ 1034 Research report : Some Observations on the ...
... tape system for listed securities . 1003 19 Extract from article entitled " Our Kind of a Central Auction Market System , ' the Commercial and Financial Chronicle , September 20 , 1973_ 1034 Research report : Some Observations on the ...
888 페이지
... tape , policy considerations to be resolved in the formation of a central market . After lengthy discussions , the board reached a consensus and , as you know , advocated in its March 1 policy statement the elimination of fixed ...
... tape , policy considerations to be resolved in the formation of a central market . After lengthy discussions , the board reached a consensus and , as you know , advocated in its March 1 policy statement the elimination of fixed ...
909 페이지
... tape as if it were in all respects an exchange transaction . Mr. NEEDHAM . This whole problem disappears if you incorporate in the legislation or in the bill the standard that all security trans- actions take place on a securities ...
... tape as if it were in all respects an exchange transaction . Mr. NEEDHAM . This whole problem disappears if you incorporate in the legislation or in the bill the standard that all security trans- actions take place on a securities ...
941 페이지
... tape " and other undesirable trading activities . The rules requiring that public orders receive priority in trades should also be uniform . Similarly , rules governing membership on exchanges should be uniform . On the other hand ...
... tape " and other undesirable trading activities . The rules requiring that public orders receive priority in trades should also be uniform . Similarly , rules governing membership on exchanges should be uniform . On the other hand ...
961 페이지
... tape and composite quotation system , discussed hereafter ) , the cost of satisfying that obligation should be the same wherever the trade is accomplished . House Study , n . 1 above , at 123 . Study took a further step and attempted to ...
... tape and composite quotation system , discussed hereafter ) , the cost of satisfying that obligation should be the same wherever the trade is accomplished . House Study , n . 1 above , at 123 . Study took a further step and attempted to ...
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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