Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 94.
1310. lappuse
... Special Counsel CONTENTS ( The same table of contents appears in parts. JOHN E. MOSS , California JOHN D. DINGELL , Michigan PAUL G. ROGERS , Florida LIONEL VAN DEERLIN , California J. J. PICKLE , Texas FRED B. ROONEY , Pennsylvania JOHN ...
... Special Counsel CONTENTS ( The same table of contents appears in parts. JOHN E. MOSS , California JOHN D. DINGELL , Michigan PAUL G. ROGERS , Florida LIONEL VAN DEERLIN , California J. J. PICKLE , Texas FRED B. ROONEY , Pennsylvania JOHN ...
1311. lappuse
... Special Counsel to IDS .. Loomis , Hon . Philip A. , Jr. , Commissioner , Securities and Exchange Commission__ Macklin , Gordon S. , President , National Association of Securities Dealers , Inc. , accompanied by Lloyd J. Derrickson ...
... Special Counsel to IDS .. Loomis , Hon . Philip A. , Jr. , Commissioner , Securities and Exchange Commission__ Macklin , Gordon S. , President , National Association of Securities Dealers , Inc. , accompanied by Lloyd J. Derrickson ...
1316. lappuse
... special counsel of the Divi- sion of Trading and Markets , and who is specifically charged with the responsibility of maintaining liaison with the organizations present here today . I also have with me Mr. Millstone , who is a staff ...
... special counsel of the Divi- sion of Trading and Markets , and who is specifically charged with the responsibility of maintaining liaison with the organizations present here today . I also have with me Mr. Millstone , who is a staff ...
1317. lappuse
... Special Study outlined three problem areas as targets of the efforts to improve the operational programs of the industry . First , modernization of the present methods of securities handling and recordkeeping . Second , the develop ...
... Special Study outlined three problem areas as targets of the efforts to improve the operational programs of the industry . First , modernization of the present methods of securities handling and recordkeeping . Second , the develop ...
1319. lappuse
... special interests of any- body , be they banks against banks , brokers against brokers , or com- munities against communities . The solution to the problem is all that I was asked to come up with . The scope of BASIC is limited to ...
... special interests of any- body , be they banks against banks , brokers against brokers , or com- munities against communities . The solution to the problem is all that I was asked to come up with . The scope of BASIC is limited to ...
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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