Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
1310. lappuse
... Special Counsel CONTENTS ( The same table of contents appears in parts. KF27 75536 1971f JOHN JARMAN , Oklahoma JOHN E. MOSS , California JOHN D. DINGELL , Michigan PAUL G. ROGERS , Florida LIONEL VAN DEERLIN , California J. J. PICKLE ...
... Special Counsel CONTENTS ( The same table of contents appears in parts. KF27 75536 1971f JOHN JARMAN , Oklahoma JOHN E. MOSS , California JOHN D. DINGELL , Michigan PAUL G. ROGERS , Florida LIONEL VAN DEERLIN , California J. J. PICKLE ...
1311. lappuse
... Special Counsel to IDS .. Loomis , Hon . Philip A. , Jr. , Commissioner , Securities and Exchange Commission__ Macklin , Gordon S. , President , National Association of Securities Dealers , Inc. , accompanied by Lloyd J. Derrickson ...
... Special Counsel to IDS .. Loomis , Hon . Philip A. , Jr. , Commissioner , Securities and Exchange Commission__ Macklin , Gordon S. , President , National Association of Securities Dealers , Inc. , accompanied by Lloyd J. Derrickson ...
1316. lappuse
... special counsel of the Divi- sion of Trading and Markets , and who is specifically charged with the responsibility of maintaining liaison with the organizations present here today . I also have with me Mr. Millstone , who is a staff ...
... special counsel of the Divi- sion of Trading and Markets , and who is specifically charged with the responsibility of maintaining liaison with the organizations present here today . I also have with me Mr. Millstone , who is a staff ...
1317. lappuse
... Special Study outlined three problem areas as targets of the efforts to improve the operational programs of the industry . First , modernization of the present methods of securities handling and recordkeeping . Second , the develop ...
... Special Study outlined three problem areas as targets of the efforts to improve the operational programs of the industry . First , modernization of the present methods of securities handling and recordkeeping . Second , the develop ...
1319. lappuse
... special interests of any- body , be they banks against banks , brokers against brokers , or com- munities against communities . The solution to the problem is all that I was asked to come up with . The scope of BASIC is limited to ...
... special interests of any- body , be they banks against banks , brokers against brokers , or com- munities against communities . The solution to the problem is all that I was asked to come up with . The scope of BASIC is limited to ...
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Bieži izmantoti vārdi un frāzes
accounts action agency amendments American Bankers Association American Stock Exchange antitrust Association authority automated banks BASIC Bevis Board of Governors broker-dealers brokerage firms brokers Budget Bureau CASEY certificateless Chairman clearance clearing system Commission's Committee cost CUSIP customers Dealers delivery depository system effect elimination Exchange Commission Exchange's Executive Federal Federal Trade Commission filed Haack handling hearings HOWLAND implementation incorporation interest investors issues letter machine-readable certificate MCCOLLISTER member firms membership ment Merrill Lynch million Moss mutual fund NASD NASDAQ NYSE offer of settlement operations organization over-the-counter PAINTER participation present President problems procedures punch card question record registrant regulation regulatory request responsibility rules SCI-TEK Section Securities and Exchange Securities Exchange Act securities industry securities markets securities transactions self-regulation self-regulatory SIPC SPORKIN statement stock certificate Subcommittee submitted tion trading transfer agent violations York Stock Exchange
Populāri fragmenti
1678. lappuse - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest, and to remove impediments to and perfect the mechanism of a free and open market...
1639. lappuse - Commission, the New York Stock Exchange, and the National Association of Securities Dealers.
1809. lappuse - To conduct research in the development of improved plans of administrative management, and to advise the executive departments and agencies of the Government with respect to improved administrative organization and practice.
1548. lappuse - If we can be of further assistance, please do not hesitate to call on us. Sincerely yours, ROBERT F.
1811. lappuse - The officers of the Department of Justice, under the direction of the Attorney General...
1678. lappuse - The rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade...
1481. lappuse - Exchange ; any other security of the same issuer which is of senior or substantially equal rank; any security called for by subscription rights or warrants so listed or approved ; or any warrant or right to purchase or subscribe to...
1811. lappuse - Congress the necessary resources of flexibility and practicality, which will enable it to perform its function in laying down policies and establishing standards, while leaving to selected instrumentalities the making of subordinate rules...
1811. lappuse - ... on behalf of the United States, procure the proper evidence for, and conduct, prosecute, or defend all suits and proceedings in the Supreme Court and in the Court of Claims, in which the United States, or any officer...
1811. lappuse - The Congress is not permitted to abdicate or to transfer to others the essential legislative functions with which it is thus vested.