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
... 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 October 4 , 1971 , to Hon . John E. Moss , with ...
... 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 October 4 , 1971 , to Hon . John E. Moss , with ...
1314. lappuse
... Procedures__ 1960 X. OCR Equipment for Reading Stock Certificates ( Report to BASIC- July 1970 ) , with charts , tables , and exhibits_ 1971 Y. Letter from Chairman Casey of SEC to Mr. Moss regarding fails , with charts , tables , and ...
... Procedures__ 1960 X. OCR Equipment for Reading Stock Certificates ( Report to BASIC- July 1970 ) , with charts , tables , and exhibits_ 1971 Y. Letter from Chairman Casey of SEC to Mr. Moss regarding fails , with charts , tables , and ...
1315. lappuse
... procedures and uniform and more extensive disclosure to customers of broker - dealers ' financial condition , as well as the adequacy of audit procedures . Now we shall turn to another important problem , namely , the per- vasive effect ...
... procedures and uniform and more extensive disclosure to customers of broker - dealers ' financial condition , as well as the adequacy of audit procedures . Now we shall turn to another important problem , namely , the per- vasive effect ...
1324. lappuse
... procedures applied to large accumulations of certificates in bulk without any attachments , mostly in brokers ' hands but to some extent in banks . It is precisely these certificates that ought to go into a CSDS . One should not be ...
... procedures applied to large accumulations of certificates in bulk without any attachments , mostly in brokers ' hands but to some extent in banks . It is precisely these certificates that ought to go into a CSDS . One should not be ...
1327. lappuse
... procedures to a state of near - maximum efficiency . For the longer run , the exchange has under development the total automation concept of the locked - in trade , whereby the trading floor of the exchange would become , in effect , an ...
... procedures to a state of near - maximum efficiency . For the longer run , the exchange has under development the total automation concept of the locked - in trade , whereby the trading floor of the exchange would become , in effect , an ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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