Securities Markets Investigation: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-seventh Congress, First Session on H. J. Res. 438U.S. Government Printing Office, 1961 - 178 lappuses Considers legislation to authorize SEC to investigate effectiveness of securities industry self-regulation, including operations of stock exchanges and the National Association of Securities Dealers. |
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1.–5. rezultāts no 32.
. lappuse
... McCormick , Edward T. , president , American Stock Exchange- Mooney , Michael E. , general counsel , American Stock Exchange- North , Walter P. , Assistant General Counsel , Securities and Exchange Commission__ 4 , 44 123 123 4 , 44 ...
... McCormick , Edward T. , president , American Stock Exchange- Mooney , Michael E. , general counsel , American Stock Exchange- North , Walter P. , Assistant General Counsel , Securities and Exchange Commission__ 4 , 44 123 123 4 , 44 ...
123. lappuse
... McCormick . Mr. McCormick , we are very happy to have you here , and we would be pleased to have your testimony . It is my understanding that you would like to complete your statement before the committee asks questions , and the Chair ...
... McCormick . Mr. McCormick , we are very happy to have you here , and we would be pleased to have your testimony . It is my understanding that you would like to complete your statement before the committee asks questions , and the Chair ...
129. lappuse
... McCormick , who have spent so much time explaining the underlying philosophy of the 1933 act and the 1934 act . As a result of this education from the men that I have mentioned , I introduced the following new rules affecting the ...
... McCormick , who have spent so much time explaining the underlying philosophy of the 1933 act and the 1934 act . As a result of this education from the men that I have mentioned , I introduced the following new rules affecting the ...
133. lappuse
... McCormick , do specialists on the American Stock Exchange perform the same functions as they do on the New York Stock Exchange ? Mr. MCCORMICK . They are identical , except for one important dif- ference ; that is , that on the American ...
... McCormick , do specialists on the American Stock Exchange perform the same functions as they do on the New York Stock Exchange ? Mr. MCCORMICK . They are identical , except for one important dif- ference ; that is , that on the American ...
134. lappuse
... MCCORMICK . We recently adopted a rule that leaves the dis- cretion- Mr. MACK . You mean by recently , within the last month ? Mr. McCORMICK . Yes . Allocation is entirely within the discretion of the committee . Mr. MACK . That is the ...
... MCCORMICK . We recently adopted a rule that leaves the dis- cretion- Mr. MACK . You mean by recently , within the last month ? Mr. McCORMICK . Yes . Allocation is entirely within the discretion of the committee . Mr. MACK . That is the ...
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activity American Stock Exchange amount Association of Securities board of governors British American Tobacco broker broker-dealers Canadian Javelin capital CARY Chairman CLAFLIN COHEN common common)¹ concerning Congress Corp corporation correct CURTIN DINGELL director disciplinary action disclosure enforcement Exchange Commission fact filed firm floor committee FUNSTON Gerard F GLENN HEMPHILL House Joint Resolution industry interest investigation investment adviser investment company investors issues Joint Resolution 438 KEITH listed LOOMIS MACK manipulation matter McCORMICK MOONEY mutual funds NASD national securities exchange odd-lot operations over-the-counter market partner percent person principal underwriter problem purchase question referred registered regulations REILLY respect rules Securities and Exchange Securities Dealers Securities Exchange Act securities markets sell shares specialist statement stockholders subcommittee tion trading transactions unlisted violation Wall Street Journal York Stock Exchange
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