Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
1316. lappuse
... Commission . STATEMENT OF HON . JAMES J. NEEDHAM , COMMISSIONER , SECURITIES AND EXCHANGE COMMISSION Mr. NEEDHAM . Thank you , Mr. Chairman . I am pleased to be here on behalf of my colleagues and to contribute whatever expertise we may ...
... Commission . STATEMENT OF HON . JAMES J. NEEDHAM , COMMISSIONER , SECURITIES AND EXCHANGE COMMISSION Mr. NEEDHAM . Thank you , Mr. Chairman . I am pleased to be here on behalf of my colleagues and to contribute whatever expertise we may ...
1317. lappuse
... COMMISSION Mr. Chairman and members of the subcommittee , I am glad to be here to dis- cuss with you the problem of the stock certificate as it relates to the brokerage and banking industries and the possible approaches to improve the ...
... COMMISSION Mr. Chairman and members of the subcommittee , I am glad to be here to dis- cuss with you the problem of the stock certificate as it relates to the brokerage and banking industries and the possible approaches to improve the ...
1415. lappuse
... Commission to compel the NASD to adopt rules if the Commission considers that such rules are necessary in the public interest . Mr. Moss . All right . That will also be included , and you will prepare a written memorandum setting forth ...
... Commission to compel the NASD to adopt rules if the Commission considers that such rules are necessary in the public interest . Mr. Moss . All right . That will also be included , and you will prepare a written memorandum setting forth ...
1416. lappuse
... Commission after considering all factors previously described concluded that such a project was in the public interest . The Commission has proposed to adopt Rule 15A ( j ) -3 which would govern cer- tain procedures to be followed in ...
... Commission after considering all factors previously described concluded that such a project was in the public interest . The Commission has proposed to adopt Rule 15A ( j ) -3 which would govern cer- tain procedures to be followed in ...
1417. lappuse
... COMMISSION WASHINGTON , D.C. PROPOSAL TO ADOPT RULE 15Aj - 3 - UNDER THE SECURITIES EXCHANGE ACT OF 1934 Notice is hereby given that the Securities and Exchange Commission has under consideration a proposal to adopt Rule Aj - 3 under ...
... COMMISSION WASHINGTON , D.C. PROPOSAL TO ADOPT RULE 15Aj - 3 - UNDER THE SECURITIES EXCHANGE ACT OF 1934 Notice is hereby given that the Securities and Exchange Commission has under consideration a proposal to adopt Rule Aj - 3 under ...
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accounts agency amendments American Bankers Association American Stock Exchange antitrust authority automated banks BASIC Bevis Board of Governors broker-dealers brokerage firms brokers Casey certificateless Chairman clearance clearing system Commission's Committee Congress cost CUSIP customers delivery depository system effect elimination Exchange Commission Exchange's Executive Federal Federal Trade Commission filed Haack handling hearings HOWLAND implementation incorporation interest investors issues legislation letter machine-readable certificate MCCOLLISTER member firms membership ment Merrill Lynch million Moss mutual fund NASD NASDAQ NYSE offer of settlement operations organization over-the-counter PAINTER participation present President problems procedures proposed punch card question record registrant regulation regulatory responsibility rules SCI-TEK Section Securities and Exchange Securities Exchange Act securities industry securities markets securities transactions self-regulation self-regulatory SIPC SPORKIN statement stock certificate subcommittee submitted tion trading transfer agent violations York Stock Exchange