Hearings, Reports and Prints of the House Committee on Interstate and Foreign CommerceU.S. Government Printing Office, 1971 |
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Accounts liquidating aggregate indebtedness amendment ANSWERS TO FINANCIAL assets audit Bache & Co bank between-the-lines entry borrowings broker or dealer broker-dealer brokerage capital requirements capital rule caption cash Chairman collateral committee Commodity Exchange Act Corporation Crypto AG customer's debenture debit balances deduction delivery DEPARTMENT OF MEMBER deposits dividends effect equity Exchange's Exempted securities FINANCIAL QUESTIONNAIRE free credit balances funds future contracts haircut hereof hypothecation included income interest investment investors Ledger balances liabilities liquidation loan loss market value maturity member firms member organization Merrill Lynch million Moss NASD NYSE operations partners payable payment percent period POLLACK positions principal amount prior problems protection pursuant question receivable record regulations reported reserve Respondent Robinson Robinson & Co Schedule secured demand note Securities accounts securities industry segregation shares statement subcaption subordination agreement tion trading transactions underwriting Valuation York Stock Exchange
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178. lappuse - ... the corporation described in, and which executed the foregoing instrument; that he knows the seal of said corporation; that the seal affixed to said instrument is such corporate seal; that it was so...
179. lappuse - Signed, sealed and delivered ..... in the presence of ...... (LS) (LS) (LS) 37 County of ) On the day of , 19 , before me personally came , to me known and...
81. lappuse - I would like to invite the committee's attention to the fact that the...
246. lappuse - IN WITNESS WHEREOF, the parties hereto have set their hands and seals the day and year first above written.
981. lappuse - ... without his written consent with the securities of any other customer, (2) that will permit such securities to be commingled with the securities of any person other than a bona fide customer, or- (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect of such securities.
370. lappuse - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...
955. lappuse - Mr. President, I ask unanimous consent that the letter of request, dated September 25, 1970, be printed at this point in the Record. (There being no objection, the letter was ordered to be printed in the Record, as follows : ) SEPTEMBER 25, 1970.
946. lappuse - ... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody and use of customers' securities and the carrying and use of customers
945. lappuse - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers...
99. lappuse - Mr. Chairman, I do not want to take any more time of the committee. I...