Managed Accounts/section 11(a): Hearing Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, First Session, May 14, 1991, 4. sējumsU.S. Government Printing Office, 1991 - 76 lappuses |
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1975 Amendments affiliated broker-dealers affiliated brokers associated persons best execution BRARY combination of money compensation conflicts of interest CONG CONGRE CONGRESS THE LIBRARY covered accounts eliminating the managed ERISA Exchange Act Release Exchange Commission exchange floor exchange members exchange membership execute trades execute transactions exemption Fidelity Investments fiduciary fixed commission rates GRESS HARRIS independent floor brokers institutional accounts institutional commission rates institutional investors institutional money managers investment advisers investment companies investment managers legislative LIBRA LIBRARY OF CONGRESS managed account orders managed account prohibition managed account provision managed account restrictions management and brokerage member firms national market system national securities exchange Nelson Nutter NYSE order flow orders for managed Pozen provision of Section RARY reduced regional exchanges RESS THE LIBRARY RICHARD Y ROBERTS Section 11(a Securities and Exchange Securities Exchange Act Securities Industry Association securities markets tions trades for managed two-dollar broker York Stock Exchange
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43. lappuse - Many forms of conduct permissible in a workaday world for those acting at arm's length, are forbidden to those bound by fiduciary ties. A trustee is held to something stricter than the morals of the market place. Not honesty alone, but the punctilio of an honor the most sensitive, is then the standard of behavior. As to this there has developed a tradition that is unbending and inveterate. Uncompromising rigidity has been the attitude of courts of equity when petitioned to undermine the rule of undivided...
28. lappuse - Commission, by rule, determines is consistent with the purposes of this paragraph, the protection of investors, and the maintenance of fair and orderly markets.
27. lappuse - That this paragraph shall not make unlawful — (A) any transaction by a dealer acting in the capacity of market maker; (B) any transaction for the account of an odd-lot dealer in a security in which he is so registered; (C) any...
24. lappuse - Subcommittee on Telecommunications and Finance Committee on Energy and Commerce US House of Representatives...
65. lappuse - Act in 1973, which required each member of an exchange "to have as the principal purpose of its membership the conduct of a public securities business.
5. lappuse - I would be happy to respond to any questions that you or the other members of the subcommittee may have.
27. lappuse - ... (F) any transaction to offset a transaction made in error; (G) any other transaction for a member's own account provided that (i) such member is primarily engaged in the business of underwriting and distributing securities issued by other persons, selling securities to customers, and acting as broker, or any one or more of such activities, and whose gross income normally is derived principally from such business and related activities and (ii) such transaction is effected in compliance...
28. lappuse - ... qualifying shares) are, or after such acquisition will be, owned by one or more registered investment companies; and (B) such person is primarily engaged in the business of underwriting and distributing securities issued by other persons, selling securities to customers, or any one or more of such or related activities, and the gross income of such person normally is derived principally from such business or related activities.
8. lappuse - It is in the public interest and appropriate for the protection of investors and the maintenance of fair and orderly markets...
27. lappuse - It shall be unlawful for any member of a national securities exchange to effect any transaction on such exchange for its own account, the account of an associated person, or an account with respect to which it or an associated person thereof exercises investment discretion...