OCTOBER 18, 19, 20, 26, 27; NOVEMBER 16, 17, 1971 Serial No. 92–37c Printed for the use of the U.S. GOVERNMENT PRINTING OFFICE 67-228 O WASHINGTON : 1972 For sale by the Superintendent of Documents, U.S. Government Printing Office Washington, D.C. 20402 - Price $2.25 COMMITTEE ON INTERSTATE AND FOREIGN COMMERCE HARLEY O. STAGGERS, West Virginia, Chairman ANCHER NELSEN, Minnesota JOHN D. DINGELL, Michigan PAUL G. ROGERS, Florida LIONEL VAN DEERLIN, California J. J. PICKLE, Texas FRED B. ROONEY, Pennsylvania W. S. (BILL) STUCKEY, JR., Georgia BOB ECKHARDT, Texas ROBERT O. TIERNAN, Rhode Island W. E. WILLIAMSON, Clerk Professional Staff JAMES M. MENGER, Jr. HASTINGS KEITH, Massachusetts CHARLES B. CURTIS W. S. (BILL) STUCKEY, JR., Georgia SUBCOMMITTEE ON COMMERCE AND FINANCE HARVEY A. ROWEN, Counsel ROBERT F. GUTHRIE JAMES T. BROYHILL, North Carolina Study of the Securities Industry Staff WILLIAM H. PAINTER, Special Counsel JOHN N. BALAKOS, Professional Adviser CONTENTS (The same table of contents appears in parts 3, 4, and 5) PART 3 Hearings held on Page October 18. 1315 October 19 1413 October 20. 1489 October 26 1537 October 27 1613 November 16. 1639 November 17. 1711 Statements of — Bevis, Herman W., Executive Director, Banking and Securities Industry Committee. 1318, 1413, 1490 Casey, Hon. William J., Chairman, Securities and Exchange Commission.. 1712 Celler, Hon. Emanuel, a Representative in Congress from the State of New York. 1639 Delahunty, Christopher J., President, Pacific Coast Stock Exchange Clearing Corporation.. 1352, 1413, 1490 Du Pont, Henry W., Chairman of the Board and President, SCI-TEK, Incorporated.. 1380, 1413, 1490 Haack, Robert W., President, New York Stock Exchange, Inc., accompanied by Donald L. Calvin, Vice President. 1728 Howland, Richard B., President, Stock Clearing Corporation, New York Stock Exchange, Inc. 1325, 1413, 1490 Kaestner, Frank W., Senior Vice President, Manufacturers Hanover Trust Company 1368, 1413, 1490 Loeffler, Robert M., Senior Vice President-Law, Investors Diversified Services, Inc.; accompanied by Richard M. Phillips, Esq., of Hill, 1669 Loomis, Hon. Philip A., Jr., Commissioner, Securities and Exchange Commission. 1712 Macklin, Gordon S., President, National Association of Securities Dealers, Inc., accompanied by Lloyd J. Derrickson, Vice President and General Counsel... 1739 Maller, Robert R., Senior Vice President, United States Trust Company of New York.. 1555, 1613 Montross, Phillips M., President, Midwest Stock Exchange Clearing Corporation 1343, 1413, 1490 Morgan, David H., President, National Clearing Corporation, NASD... 1362, 1413, 1490 Needham, James J., Commissioner, Securities and Exchange Commission. 1316 Noyes, Clifford H., Regional Vice President, North American Rockwell Information Systems Company. 1548, 1613 O'Connor, Bernard, Vice President and General Manager, United States Banknote Corporation. 1561, 1613 Peake, Junius W., General Partner, Shields & Company - 1373, 1413, 1490 Pollack, Irving M., Director, Division of Trading and Markets, Securities and Exchange Commission. 1712 Reinisch, Hans Randolph, President, National Shareholders Association, New York... 1685 Schapiro, Morris A., President, M. A. Schapiro & Co., Inc.; accom panied by George D. Reycraft, Esq., and Thomas A. Russo, Esq., of Cadwalder, Wickersham & Taft. 1652 Sporkin, Stanley, Associate Director, Division of Trading and Markets, Securities and Exchange Commission.. 1413, 1490, 1538, 1613 Weinberg, Eli, Partner, Lybrand, Ross Bros. & Montgomery Co.--' 1540, 1613 |
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