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
... organization in the problems of the securities industry . O'Connor , Bernard , article entitled " Optical Speed Reading " . Peat , Marwick , Mitchell & Co .: Letter dated June 21 , 1971 , re material submitted pertaining to various ...
... organization in the problems of the securities industry . O'Connor , Bernard , article entitled " Optical Speed Reading " . Peat , Marwick , Mitchell & Co .: Letter dated June 21 , 1971 , re material submitted pertaining to various ...
1322. lappuse
... organizations under regulation or supervision of a federal or state authority . This would include broker - dealers , banks , mutual funds , insurance companies , and clearing cor- porations of NASD and exchanges if such direct ...
... organizations under regulation or supervision of a federal or state authority . This would include broker - dealers , banks , mutual funds , insurance companies , and clearing cor- porations of NASD and exchanges if such direct ...
1338. lappuse
... organization that ultimately became the New York Stock Exchange . ) George Leffler has succinctly described the situation which finally led to the establishment of the first successful clearing operation : 6 When a firm delivered 100 ...
... organization that ultimately became the New York Stock Exchange . ) George Leffler has succinctly described the situation which finally led to the establishment of the first successful clearing operation : 6 When a firm delivered 100 ...
1343. lappuse
... the exchange chairman and president to the exchange membership , dated Sept. 20 , 1971 . A copy of this letter is appended as exhibit D , p . 1888 . The depository organization should be controlled initially by the three 1343.
... the exchange chairman and president to the exchange membership , dated Sept. 20 , 1971 . A copy of this letter is appended as exhibit D , p . 1888 . The depository organization should be controlled initially by the three 1343.
1344. lappuse
... organization should be controlled initially by the three major financial centers - that is , Chicago , New York , and San Francisco - Los Angeles - and the National Association of Securities Dealers as the national representative . As ...
... organization should be controlled initially by the three major financial centers - that is , Chicago , New York , and San Francisco - Los Angeles - and the National Association of Securities Dealers as the national representative . As ...
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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