Study of the Securities Industry: Hearings, Ninety-second Congress, First [and Second] Session[s].U.S. Government Printing Office, 1971 - 4623 lappuses |
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1.–5. rezultāts no 100.
745. lappuse
... funds and securities . Some of these matters were explored in the August hearing , but we are endeavoring here to achieve a more intensive scrutiny of these very complex and technical problems . This is in recognition of the paramount ...
... funds and securities . Some of these matters were explored in the August hearing , but we are endeavoring here to achieve a more intensive scrutiny of these very complex and technical problems . This is in recognition of the paramount ...
748. lappuse
... funds of the New York Stock Exchange , the Com- mission's primary efforts were directed toward strengthening the net capital rule of the New York Stock Exchange . As previously mentioned , substantial progress has been made in recent ...
... funds of the New York Stock Exchange , the Com- mission's primary efforts were directed toward strengthening the net capital rule of the New York Stock Exchange . As previously mentioned , substantial progress has been made in recent ...
749. lappuse
... funds are not segregated and that they may be used in the business of the broker - dealer . As the committee is ... funds , and customers ' margin securities as well , would be to segregate cus- tomers ' funds and securities . This ...
... funds are not segregated and that they may be used in the business of the broker - dealer . As the committee is ... funds , and customers ' margin securities as well , would be to segregate cus- tomers ' funds and securities . This ...
750. lappuse
... funds to par- ticular purposes , for example , supporting margin debits . These ap- proaches would be based upon the premise that it is reasonable to allow firms to finance customer activities , such as margin loans , but not firm ...
... funds to par- ticular purposes , for example , supporting margin debits . These ap- proaches would be based upon the premise that it is reasonable to allow firms to finance customer activities , such as margin loans , but not firm ...
754. lappuse
... funds and securities and by the enactment of the SIPC legislation . ITEM 2 ( a ) The relationship of debt to equity in broker - dealer capital Brokerage firms until recently have taken the partnership or close corporation form of ...
... funds and securities and by the enactment of the SIPC legislation . ITEM 2 ( a ) The relationship of debt to equity in broker - dealer capital Brokerage firms until recently have taken the partnership or close corporation form of ...
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30 days additional aggregate indebtedness amendment American Stock Exchange amount assets auditors balance sheet bank loans borrowed broker-dealers brokerage firms bulk segregation capital computation capital ratio capital requirements capital rule cash Chairman charge collateral committee commodity CONGRESS corporation customer securities debit balances deduction demand notes deposits dividends ECKHARDT equity excess margin securities Exchange Act Exchange rule Exchange's exemption financial condition financial questionnaire firm's free credit balances fully paid funds haircut hypothecation included investment investors liabilities liquidity loss margin accounts market value member firms Merrill Lynch Moss NASD NYSE operational PAINTER partners percent pledged POLLACK position problems proposed protection question regulations regulatory reserve respect Robinson Robinson & Co RowEN Schedule SEC rule Section Securities and Exchange Securities Exchange securities industry Senator September 14 short stock record SIPC specific Subcommittee subordination agreement surprise audit tion trading transactions unsecured York Stock Exchange
Populāri fragmenti
946. lappuse - ... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody and use of customers' securities, and the carrying and use of customers
978. lappuse - ... securities without his written consent with the securities of any other customer, (2) that will permit such securities to be commingled with the securities of any person other than a bona fide customer, or- (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect of such securities.
956. lappuse - Mr. President, I ask unanimous consent that the letter of request, dated September 25, 1970, be printed at this point in the Record. (There being no objection, the letter was ordered to be printed in the Record, as follows : ) SEPTEMBER 25, 1970.
946. lappuse - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers...
1243. lappuse - Act for transactions in any security which is a part of an issue offered and sold only to persons resident within a single State or Territory, where the issuer of such security is a person resident and doing business within * * * such State or Territory.
783. lappuse - It provides that the agreement shall not be subject to cancellation by either party, and that the loan shall not be repaid and the agreement shall not be terminated, rescinded or modified by mutual consent or otherwise if the effect thereof would be to make the agreement inconsistent with the conditions of this...
779. lappuse - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.
1028. lappuse - ... procedure, which disagreements if not resolved to the satisfaction of the former accountant would have caused him to make reference in connection with his report to the subject matter of the disagreement(s); also, describe each such disagreement.
779. lappuse - States or by any territory or insular possession thereof or by the District of Columbia or by any state or political, public taxing subdivision or agency thereof; (b) Any security issued or guaranteed by any foreign government with which the United States is then maintaining diplomatic relations...
978. lappuse - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member...