Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
1313. lappuse
... NASD to adopt uniform rules for clearance and settlement procedures by all NASD members for both O - T - C and listed stocks , with attachment_ Material relating to the incorporation of the New York Stock Exchange-- Reply to letter of ...
... NASD to adopt uniform rules for clearance and settlement procedures by all NASD members for both O - T - C and listed stocks , with attachment_ Material relating to the incorporation of the New York Stock Exchange-- Reply to letter of ...
1317. lappuse
... NASD . We are charged with responsibility for the reasonableness of com- mission rates , rules governing the books and records of broker - dealers , and most recently with preparation of rules governing the custody and use of free ...
... NASD . We are charged with responsibility for the reasonableness of com- mission rates , rules governing the books and records of broker - dealers , and most recently with preparation of rules governing the custody and use of free ...
1318. lappuse
... NASD , and the 11 New York Clearing House banks . The composition of the committee is this : Mr. John Meyer , sitting behind me , is chairman . Mr. Meyer was chairman of Morgan Guaranty Trust until about 2 months ago when he retired ...
... NASD , and the 11 New York Clearing House banks . The composition of the committee is this : Mr. John Meyer , sitting behind me , is chairman . Mr. Meyer was chairman of Morgan Guaranty Trust until about 2 months ago when he retired ...
1322. lappuse
... NASD , and the eleven New York Clearing House banks . This event was then announced to the public both to give tangible evidence of progress in solving the problems of handling securities transactions and to present a down - to - earth ...
... NASD , and the eleven New York Clearing House banks . This event was then announced to the public both to give tangible evidence of progress in solving the problems of handling securities transactions and to present a down - to - earth ...
1332. lappuse
... NASD broker- dealers as Associate Clearing Members . This would enable them to par- ticipate in CCS deliveries of all eligible securities , including over - the - counter issues , the total number of which is also to be expanded . ( 2 ) ...
... NASD broker- dealers as Associate Clearing Members . This would enable them to par- ticipate in CCS deliveries of all eligible securities , including over - the - counter issues , the total number of which is also to be expanded . ( 2 ) ...
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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