Annual Report of the SEC.U.S. Government Printing Office |
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... Dealers , Municipal Securities Dealers and Transfer Agents .... Regulatory Burdens on Small Brokers and Dealers Broker - Dealer Reporting Requirements Registration Requirements Broker - Dealer Examinations . Municipal Securities Brokers ...
... Dealers , Municipal Securities Dealers and Transfer Agents .... Regulatory Burdens on Small Brokers and Dealers Broker - Dealer Reporting Requirements Registration Requirements Broker - Dealer Examinations . Municipal Securities Brokers ...
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... Dealers 1975-1979 ..... Historical Financial Information of Broker - Dealers with Securities Re- lated Revenues of $ 500,000 or More ..... Table 2- Historical Consolidated Revenue and Expenses of Broker- Dealers With Securities Related ...
... Dealers 1975-1979 ..... Historical Financial Information of Broker - Dealers with Securities Re- lated Revenues of $ 500,000 or More ..... Table 2- Historical Consolidated Revenue and Expenses of Broker- Dealers With Securities Related ...
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... dealer from ex- ecuting any order to buy or sell certain securities at a price inferior to the price of any public limit ... Dealers , Inc. ( NASD ) would quickly reach agreement on an automated link- age between the ITS and the NASDAQ ...
... dealer from ex- ecuting any order to buy or sell certain securities at a price inferior to the price of any public limit ... Dealers , Inc. ( NASD ) would quickly reach agreement on an automated link- age between the ITS and the NASDAQ ...
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... dealers to compare transactions through a central entity rather than having to relate direct- ly to each broker and dealer with whom they execute transactions ; ( b ) increase standardization in the processing of transactions in ...
... dealers to compare transactions through a central entity rather than having to relate direct- ly to each broker and dealer with whom they execute transactions ; ( b ) increase standardization in the processing of transactions in ...
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... dealers were affected by the elimination of fixed minimum commis- sion rates largely depending upon the extent to which they served institutional investors . Some firms which did a large ... Dealers , Municipal Securities Dealers and 7.
... dealers were affected by the elimination of fixed minimum commis- sion rates largely depending upon the extent to which they served institutional investors . Some firms which did a large ... Dealers , Municipal Securities Dealers and 7.
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28 SEC Docket accounting actions Advisers Act amendments amicus curiae antifraud provisions applications assets Association audit bank broker broker-dealers CBOE clearing agency Commis Commission's Company Act Release Corp Corporation defendants Director disclosure district court Dollars effective employees enforcement equity Exchange Act Release exemption Expenses FASB Federal securities laws fees Ferrovanadium financial reporting firms fiscal Form funds Holding Company Holding Company Act holding company systems injunction insider trading Investment Advisers Investment Company Act issuers issues June Litigation Release Management ment million mission Municipal Securities NASD NASDAQ NYSE Office operations options participants pending percent proceedings proposed rule proxy pursuant registration statement Regulation regulatory requirements Revenues rule changes Section Securities Act Release Securities Exchange Act self-regulatory organizations September 30 shareholders sion small business SROs staff Stock Exchange surveillance Table tender offer tion Total trading transactions Utilities violations York Stock Exchange