Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
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1.–5. rezultāts no 92.
1316. lappuse
... responsibility of maintaining liaison with the organizations present here today . I also have with me Mr. Millstone , who is a staff attorney also in- volved in this important area . Mr. Chairman , my statement as submitted to the ...
... responsibility of maintaining liaison with the organizations present here today . I also have with me Mr. Millstone , who is a staff attorney also in- volved in this important area . Mr. Chairman , my statement as submitted to the ...
1317. lappuse
... responsibility of the Commission . The Exchange Act charges the Commission with a broad range of responsibility over the exchange markets , the over - the - counter market , and the broker - dealers themselves . We are charged with ...
... responsibility of the Commission . The Exchange Act charges the Commission with a broad range of responsibility over the exchange markets , the over - the - counter market , and the broker - dealers themselves . We are charged with ...
1341. lappuse
... responsibilities for regulating its membership , this is a different and less direct form of liability . ( 3 ) If the NYSE were on the contra - side of each trade , it would be- come more difficult for it to equitably police its ...
... responsibilities for regulating its membership , this is a different and less direct form of liability . ( 3 ) If the NYSE were on the contra - side of each trade , it would be- come more difficult for it to equitably police its ...
1352. lappuse
... responsibility for resolving those problems which are within its capability to resolve . A specific area in which we believe the Congress could materially aid the in- dustry and the public is in the solution of the state transfer tax ...
... responsibility for resolving those problems which are within its capability to resolve . A specific area in which we believe the Congress could materially aid the in- dustry and the public is in the solution of the state transfer tax ...
1369. lappuse
... responsibility of de- veloping a uniform security identification system . The Committee met this charge , and in 1968 The American Bankers Association contracted with Standard Statis- tics Company , Inc. to implement the CUSIP system ...
... responsibility of de- veloping a uniform security identification system . The Committee met this charge , and in 1968 The American Bankers Association contracted with Standard Statis- tics Company , Inc. to implement the CUSIP system ...
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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