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 |
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
1975 Amendments access to exchange affiliated broker-dealers affiliated brokers associated persons best execution BLILEY brokers to execute combination of money concerns conflicts of interest Congress covered accounts effecting orders eliminating the managed ERISA Exchange Act Release Exchange Commission exchange floor exchange members exchange membership execute trades execute transactions exemption Fidelity Investments fixed commission rates HARRIS independent floor brokers institutional accounts institutional commission rates institutional investors institutional money managers investment advisers investment companies investment managers legislative managed account orders managed account prohibition managed account provision managed account restrictions management and brokerage management fee March 14 member firms national market system national securities exchange Nelson NYSE order flow orders for managed over-the-counter market Pozen provision of Section qualified broker-dealers reduced regional exchanges registered investment response Robert Colby section 11(a Securities and Exchange Securities Exchange Act Securities Industry Association securities markets tions trades for managed two-dollar broker York Stock Exchange