Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 99.
1311. lappuse
... Markets , Securities and Exchange Commission_ . 1652 1413 , 1490 , 1538 , 1613 Weinberg , Eli , Partner , Lybrand , Ross Bros. & Montgomery Co .-- 1540 , 1613 ( III ) Prepared statement submitted by- Bevis , Herman W .. Delahunty.
... Markets , Securities and Exchange Commission_ . 1652 1413 , 1490 , 1538 , 1613 Weinberg , Eli , Partner , Lybrand , Ross Bros. & Montgomery Co .-- 1540 , 1613 ( III ) Prepared statement submitted by- Bevis , Herman W .. Delahunty.
1312. lappuse
... submitted by- Bevis , Herman W .. Delahunty , Christopher J .. Page 1321 1354 Du Pont , Henry W. , with exhibits and charts . 1382 Haack , Robert W. 1732 Howland , Richard B. , with exhibits .. 1328 Kaestner , Frank W. 1369 Loeffler ...
... submitted by- Bevis , Herman W .. Delahunty , Christopher J .. Page 1321 1354 Du Pont , Henry W. , with exhibits and charts . 1382 Haack , Robert W. 1732 Howland , Richard B. , with exhibits .. 1328 Kaestner , Frank W. 1369 Loeffler ...
1313. lappuse
... submitted for the record by - Continued Nicholson , Clayton M. , Vice President of the Stock Transfer Associa- tion , Inc .: Letter dated November 19 , 1971 , explaining action taken by his organization in the problems of the securities ...
... submitted for the record by - Continued Nicholson , Clayton M. , Vice President of the Stock Transfer Associa- tion , Inc .: Letter dated November 19 , 1971 , explaining action taken by his organization in the problems of the securities ...
1316. lappuse
... submitted to the committee is brief . If you like , I can read it , or we can proceed past it if you wish . Mr. Moss . You may summarize the statement . The record has in- cluded in it all statements in their entirety . Mr. NEEDHAM . At ...
... submitted to the committee is brief . If you like , I can read it , or we can proceed past it if you wish . Mr. Moss . You may summarize the statement . The record has in- cluded in it all statements in their entirety . Mr. NEEDHAM . At ...
1325. lappuse
... submitted a 44 - page statement- with exhibits - which gives the exchange's views in detail on the three subjects . For purposes of today's hearings , I will briefly summarize those views . 1. DEVELOPMENT OF DEPOSITORIES The concept of ...
... submitted a 44 - page statement- with exhibits - which gives the exchange's views in detail on the three subjects . For purposes of today's hearings , I will briefly summarize those views . 1. DEVELOPMENT OF DEPOSITORIES The concept of ...
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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.