Securities Industry Study: ReportU.S. Government Printing Office, 1973 - 240 sider |
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Side 57
... companies , they had not experienced any reduction in liquidity in the period after the advent of competitive commissions at the $ 500,000 level.73 The position of these institutional representatives , who have , of course , the most ...
... companies , they had not experienced any reduction in liquidity in the period after the advent of competitive commissions at the $ 500,000 level.73 The position of these institutional representatives , who have , of course , the most ...
Side 64
... companies increased from $ 15.4 billion to $ 52.5 billion . Life insurance companies and mutual 1 See Chapter I.C.1.d infra . for a discussion of the responses of the different exchanges . 2 The present competitive inequities are ...
... companies increased from $ 15.4 billion to $ 52.5 billion . Life insurance companies and mutual 1 See Chapter I.C.1.d infra . for a discussion of the responses of the different exchanges . 2 The present competitive inequities are ...
Side 66
... companies also made extensive use of commission business to reward brokers for mutual fund sales . In this manner the excess profits in the commission rate schedule were put to use for the benefit of the institutional accounts or the ...
... companies also made extensive use of commission business to reward brokers for mutual fund sales . In this manner the excess profits in the commission rate schedule were put to use for the benefit of the institutional accounts or the ...
Side 68
... companies which are then managed by the broker or an affiliate . As of June , 1972 , NYSE member firms managed $ 4.8 ... companies had declined from 38 to 35 percent . Over the same period , the number of companies using independent ...
... companies which are then managed by the broker or an affiliate . As of June , 1972 , NYSE member firms managed $ 4.8 ... companies had declined from 38 to 35 percent . Over the same period , the number of companies using independent ...
Side 71
... companies . Within a year of the admission of Kansas City Securities , the Exchange admitted the subsidiaries of three other mutual fund advisors : IDS Securities Corporation , a subsidiary of Investors Diversified Services , Inc ...
... companies . Within a year of the admission of Kansas City Securities , the Exchange admitted the subsidiaries of three other mutual fund advisors : IDS Securities Corporation , a subsidiary of Investors Diversified Services , Inc ...
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Vanlige uttrykk og setninger
2d Sess 92d Cong activities adopted affiliates amended American Stock Exchange AMEX antitrust laws appropriate authority broker-dealers brokerage brokers and dealers capital rule central market system Chairman Commission Rate Hearings Commission's Congress courts customers decisions disciplinary effect eliminate enforce exchange members exchange rules Exchange's filed financial responsibility funds hereinafter cited House Hearings Institutional Investor Study investment issues judicial review jurisdiction legislation Letter listed securities managed accounts market makers market-makers member firms ment money management NASD NASDAQ national securities exchanges non-members NYSE members NYSE Rule NYSE's oversight problems procedures prohibited public interest public investors recommendations regional exchanges regulation regulatory Report rule changes SEC's Securities Exchange Act Securities Markets self-regulation self-regulatory action self-regulatory agencies self-regulatory bodies self-regulatory organizations self-regulatory rules SIPC Special Study specialist structure Study Hearings Subcomm Subcommittee believes supra note Testimony third market tion transactions William McChesney Martin York Stock Exchange
Populære avsnitt
Side 209 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
Side 209 - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia...
Side 209 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission. The finding of the Commission as to the facts, if supported by substantial evidence, shall be conclusive.
Side 213 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Side 219 - After notice required by this section, the agency shall give interested persons an opportunity to participate in the rule making through submission of written data, views, or arguments with or without opportunity for oral presentation. After consideration of the relevant matter presented, the agency shall incorporate in the rules adopted a concise general statement of their basis and purpose.
Side iii - Judiciary, or any duly authorized subcommittee thereof, is authorized under sections 134 (a) and 136 of the Legislative Reorganization Act of 1946, as amended, and in accordance with its jurisdictions specified by rule XXV of the Standing Rules of the Senate, to examine, investigate, and make a complete study of any and all matters pertaining...
Side 209 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken, and it shall file such modified or new findings, which, if supported by evidence, shall be conclusive...
Side 228 - If any provision of this section is in conflict with any provision of any law of the United States in force on the date this section takes effect, the provision of this section shall prevail.
Side 144 - President, summarily to suspend all trading on any national securities exchange for a period not exceeding ninety days. (b) The Commission is further authorized, if after making appropriate request in writing to a national securities exchange that such exchange effect on its own behalf specified changes in its rules and practices, and after appropriate notice and opportunity for hearing, the Commission determines that such exchange has not made the changes so requested, and that such changes are...
Side 144 - ... (8) the reporting of transactions on the exchange and upon tickers maintained by or with the consent of the exchange, including the method of reporting short sales, stopped sales, sales of securities of issuers in default, bankruptcy or receivership, and sales involving other special circumstances; (9) the fixing of reasonable rates of commission, interest, listing, and other charges...