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 38.
742. lappuse
... Demand Note - Form 13 , Annex I_ 855 J. Charles Partee , Federal Reserve System : Letter dated November 2 , 1971 , to Harvey A. Rowen , Counsel , Securities Markets Study , Subcommittee on Commerce and Finance , making comments on NYSE ...
... Demand Note - Form 13 , Annex I_ 855 J. Charles Partee , Federal Reserve System : Letter dated November 2 , 1971 , to Harvey A. Rowen , Counsel , Securities Markets Study , Subcommittee on Commerce and Finance , making comments on NYSE ...
748. lappuse
... debt to equity in broker - dealer capital , it should be noted that brokerage firms until recently have taken the partnership or closed corporation form of organization . As such , they have ... demand notes could not be presented for 748.
... debt to equity in broker - dealer capital , it should be noted that brokerage firms until recently have taken the partnership or closed corporation form of organization . As such , they have ... demand notes could not be presented for 748.
749. lappuse
... demand notes could not be presented for payment but , rather , only the collateral could be realized upon . Recent ... demand note . Under the New York Stock Exchange net capital rule , a member corporation , but not partnerships , has ...
... demand notes could not be presented for payment but , rather , only the collateral could be realized upon . Recent ... demand note . Under the New York Stock Exchange net capital rule , a member corporation , but not partnerships , has ...
753. lappuse
... demand notes contributed by lenders . Unfortunately , the notes were so worded as to preclude the firms from realizing upon them in cash , and when they went to sell the securities , they found that their value had shrunk or that the ...
... demand notes contributed by lenders . Unfortunately , the notes were so worded as to preclude the firms from realizing upon them in cash , and when they went to sell the securities , they found that their value had shrunk or that the ...
755. lappuse
... demand notes . According to the terms of many subordinated account agreements , firms were precluded from using the securities in a subordinated account except in the event of insolvency or similar catastrophe . Similarly , the secured ...
... demand notes . According to the terms of many subordinated account agreements , firms were precluded from using the securities in a subordinated account except in the event of insolvency or similar catastrophe . Similarly , the secured ...
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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