Annual Report of the SEC.U.S. Government Printing Office |
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Página 1
... customers frequently found it diffi- cult to obtain delivery of securities they had paid for . Although a decrease in trading volume in 1969 eased the op- erational problems somewhat , it brought with it lower income for the industry ...
... customers frequently found it diffi- cult to obtain delivery of securities they had paid for . Although a decrease in trading volume in 1969 eased the op- erational problems somewhat , it brought with it lower income for the industry ...
Página 2
... customer accounts . Customers are now insured up to $ 50,000 per account ( of which no more than $ 20,000 can be in cash ) . To minimize the exposure of the SIPC fund , which is backed by a billion dollars in taxpayers ' monies ...
... customer accounts . Customers are now insured up to $ 50,000 per account ( of which no more than $ 20,000 can be in cash ) . To minimize the exposure of the SIPC fund , which is backed by a billion dollars in taxpayers ' monies ...
Página 3
... customer protection in the area of custody and use of customers ' securities , requires that the broker - dealer promptly obtain physical posses- sion or control of customer securities and contains provisions for reserves against ...
... customer protection in the area of custody and use of customers ' securities , requires that the broker - dealer promptly obtain physical posses- sion or control of customer securities and contains provisions for reserves against ...
Página 4
... customers . Rule 15c3-1 under the Exchange Act , commonly known as the Commission's " net capital rule " , imposes minimum net capital requirements on brokers and dealers and limits the amount of indebtedness which may be incurred by a ...
... customers . Rule 15c3-1 under the Exchange Act , commonly known as the Commission's " net capital rule " , imposes minimum net capital requirements on brokers and dealers and limits the amount of indebtedness which may be incurred by a ...
Página 7
... customers a $ 112,000,000 offering of its securities . Subsequently , several other NYSE members filed registration ... customer it would have to have reasonable grounds to believe that the recommendation was suitable and would also have ...
... customers a $ 112,000,000 offering of its securities . Subsequently , several other NYSE members filed registration ... customer it would have to have reasonable grounds to believe that the recommendation was suitable and would also have ...
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36th Annual Report accounting action adopted alleged amended American Stock Exchange amicus curiae amount antifraud application assets Association Bank broker or dealer broker-dealers brokerage capital cash Commis Commission Commission's common stock Company Act Release Corporation Court of Appeals creditors customers debtor defendants directors disclosure distribution district court dollar effective enforcement Exchange Act Release exemption Federal securities laws filed fiscal Holding Company injunction instituted interest investment adviser Investment Company Act investors involved issued issuer June 30 listed million mission mutual fund NASD NASDAQ national securities exchange NYSE Office operations over-the-counter pany pending percent persons principal proceedings proposed proxy purchase registered investment registration statement Regulation reorganization rules Securities Act Release Securities Exchange Act security holders self-regulatory shareholders sion staff stockholders subsidiary suspended tion Total trading transactions trustee underwriter unit investment trusts violations York Stock Exchange