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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1.–5. rezultāts no 74.
753. lappuse
... control over securities and bookkeeping accountability for the securities . The result was appreciable discrepancies ... accounts , dividends and bond interest receivable , accounts receivable from other brokers , tax refund claims and ...
... control over securities and bookkeeping accountability for the securities . The result was appreciable discrepancies ... accounts , dividends and bond interest receivable , accounts receivable from other brokers , tax refund claims and ...
767. lappuse
... account ( cost ) ( p . 6 ) . 11 , 232.50 11 , 232.50 4,000.00 $ 88 , 850.00 Officers section subordinated ( p . 26 , 27 ) .. 4,000.00 6,000.00 $ 70 , 795.00 4,000.00 200.00 22 , 925.00 52 , 212.50 Customers control ( p . 9 , 29 ) ...
... account ( cost ) ( p . 6 ) . 11 , 232.50 11 , 232.50 4,000.00 $ 88 , 850.00 Officers section subordinated ( p . 26 , 27 ) .. 4,000.00 6,000.00 $ 70 , 795.00 4,000.00 200.00 22 , 925.00 52 , 212.50 Customers control ( p . 9 , 29 ) ...
768. lappuse
... Finance. BERKELSHE & CO . , INC . - FIRM TRADING ACCOUNT , JUNE 30 , 1965 Shares Account balance Represent- Market ... Control ( p . 15 ) . 2,000.00 1,500 1,350 4,062.50 334 Dilberts Leasing .. 5,062.50 9 , 125 ( 8 ) 300 4,800 1,500.00 ...
... Finance. BERKELSHE & CO . , INC . - FIRM TRADING ACCOUNT , JUNE 30 , 1965 Shares Account balance Represent- Market ... Control ( p . 15 ) . 2,000.00 1,500 1,350 4,062.50 334 Dilberts Leasing .. 5,062.50 9 , 125 ( 8 ) 300 4,800 1,500.00 ...
769. lappuse
... control . Fail to deliver_ Securities in transit . Fails to receive . Clearance account .. Stock borrowed . Stock loaned . Good faith deposit .. Commission receivable .. Dividends receivable .. Syndicate account payable . Loan ...
... control . Fail to deliver_ Securities in transit . Fails to receive . Clearance account .. Stock borrowed . Stock loaned . Good faith deposit .. Commission receivable .. Dividends receivable .. Syndicate account payable . Loan ...
782. lappuse
... accounts which the Exchange estimates to be the maximum loss which might reasonably be expected upon a forced ... control or restricted stocks , etc. ) Then the readily marketable securities which are in proprietary accounts are given a ...
... accounts which the Exchange estimates to be the maximum loss which might reasonably be expected upon a forced ... control or restricted stocks , etc. ) Then the readily marketable securities which are in proprietary accounts are given a ...
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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 equity excess margin securities Exchange rule Exchange's exemption fail to receive 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 Robinson Robinson & Co SEC rule securities industry security differences segregation short security SIPC specific statement of financial stock record subordinated subordination agreement surprise audit tion trading transactions uniform York Stock Exchange