Study of the Securities Industry: Hearings, Ninety-second Congress, First [and Second] Session[s].U.S. Government Printing Office, 1971 - 4623 lappuses |
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30 days aggregate indebtedness amendment American Stock Exchange amount assets auditors balance sheet borrowed broker broker-dealers brokerage firms capital computation capital ratio capital requirements capital rule cash charge collateral Column committee commodity control accounts corporation customer's dealer debit balances deduction demand notes deposits disclosure dividends DRAFT equity excess margin securities Exchange rule Exchange's exemption failed to deliver financial condition financial questionnaire financial statements firm's free credit balances fully paid funds future contracts GRANNIS haircut hypothecation included income Instruction investment investors ledger liabilities liquidity loss market value member firms MEMBER ORGANIZATION DATE Merrill Lynch month Moss NASD NYSE operational PAINTER partners percent POLLACK problems proposed protection question regulatory reserve responsibility Robinson Robinson & Co SEC rule securities accounts securities industry security differences segregation short security SIPC specific statement of financial stock record subordination agreement surprise audit tion trading transactions uniform York Stock Exchange