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.
747. lappuse
... included the following : New York Stock Exchange net capital rules now requires both debt and proprietary capital to be locked in for a minimum of 1 year , with the exception of special capital furnished for underwritings . Moreover ...
... included the following : New York Stock Exchange net capital rules now requires both debt and proprietary capital to be locked in for a minimum of 1 year , with the exception of special capital furnished for underwritings . Moreover ...
752. lappuse
... included in aggregate indebtedness . Similarly , amounts due on securities which the broker has failed to receive from other brokers are excluded where the securities were purchased for the broker - dealer's own account and were not ...
... included in aggregate indebtedness . Similarly , amounts due on securities which the broker has failed to receive from other brokers are excluded where the securities were purchased for the broker - dealer's own account and were not ...
757. lappuse
... included a simple trial balance supporting schedules , worksheets , and a balance sheet . I might add here that under the proposed NASD capital rule , the basic approach of computation would be very much the same . Some of the specific ...
... included a simple trial balance supporting schedules , worksheets , and a balance sheet . I might add here that under the proposed NASD capital rule , the basic approach of computation would be very much the same . Some of the specific ...
761. lappuse
... included a wholly new requirement that a member have , as a minimum , 25 % of his total capital in the form of equity , as opposed to debt such as subordinated loans , for example . Consequently , at least 25 % of a member's capital ...
... included a wholly new requirement that a member have , as a minimum , 25 % of his total capital in the form of equity , as opposed to debt such as subordinated loans , for example . Consequently , at least 25 % of a member's capital ...
763. lappuse
... included on the confirmation furnished to the customer . Such notice is referred to as a hypothecation legend . In addition , these rules prohibit a broker or dealer from hypothecating or pledging securities carried for the account of ...
... included on the confirmation furnished to the customer . Such notice is referred to as a hypothecation legend . In addition , these rules prohibit a broker or dealer from hypothecating or pledging securities carried for the account 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...