Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
1317. lappuse
... rules , and of the rules of the NASD . We are charged with responsibility for the reasonableness of com- mission rates , rules governing the books and records of broker - dealers , and most recently with preparation of rules governing ...
... rules , and of the rules of the NASD . We are charged with responsibility for the reasonableness of com- mission rates , rules governing the books and records of broker - dealers , and most recently with preparation of rules governing ...
1364. lappuse
... rules will become operational when they have been reviewed by and not disapproved by the Securities and Exchange Commission . A copy of the rules will be provided for your records . Is that copy provided with the materials submitted to ...
... rules will become operational when they have been reviewed by and not disapproved by the Securities and Exchange Commission . A copy of the rules will be provided for your records . Is that copy provided with the materials submitted to ...
1368. lappuse
... rules . Currently , some 2800 securities are included . Instantaneous quotes are obtainable nationwide through this facility which is operated under contract with NASD by Bunker - Ramo Corporation . We have and are continuing to study ...
... rules . Currently , some 2800 securities are included . Instantaneous quotes are obtainable nationwide through this facility which is operated under contract with NASD by Bunker - Ramo Corporation . We have and are continuing to study ...
1376. lappuse
... rules on this subject could be modified from time to time if necessary . Operating expenses would be paid by fees charged for services rendered . Gentlemen , property is a major part of the individual's fundamental drive for identity ...
... rules on this subject could be modified from time to time if necessary . Operating expenses would be paid by fees charged for services rendered . Gentlemen , property is a major part of the individual's fundamental drive for identity ...
1379. lappuse
... rules governing the operational aspects of the industry , including net capital and other requirements for financial responsibility . In addition to its rule- making power , the Corporation should have the power and the staff to enforce ...
... rules governing the operational aspects of the industry , including net capital and other requirements for financial responsibility . In addition to its rule- making power , the Corporation should have the power and the staff to enforce ...
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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.