Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página
... Dealers and Transfer Agents .... Regulatory Burdens on Small Brokers and Dealers Broker - Dealer Reporting Requirements Registration Requirements Broker - Dealer Examinations . Municipal Securities Brokers and Dealers Lost and Stolen ...
... Dealers and Transfer Agents .... Regulatory Burdens on Small Brokers and Dealers Broker - Dealer Reporting Requirements Registration Requirements Broker - Dealer Examinations . Municipal Securities Brokers and Dealers Lost and Stolen ...
Página
... Broker- Dealers With Securities Related Revenue of $ 500,000 or More ... Table 3 - Historical Balance Sheet For Brokers With Securities Re- lated Revenue of $ 500,000 or More Securities Industry Dollar : 1979 .... Chart Securities ...
... Broker- Dealers With Securities Related Revenue of $ 500,000 or More ... Table 3 - Historical Balance Sheet For Brokers With Securities Re- lated Revenue of $ 500,000 or More Securities Industry Dollar : 1979 .... Chart Securities ...
Página 2
... broker or dealer from ex- ecuting any order to buy or sell certain securities at a price inferior to the price of ... Dealers , Inc. ( NASD ) would quickly reach agreement on an automated link- age between the ITS and the NASDAQ system ...
... broker or dealer from ex- ecuting any order to buy or sell certain securities at a price inferior to the price of ... Dealers , Inc. ( NASD ) would quickly reach agreement on an automated link- age between the ITS and the NASDAQ system ...
Página 9
... Broker - dealers were affected by the elimination of fixed minimum commis- sion rates largely depending upon the extent to which they served ... securities prices . Regulation of Brokers , Dealers , Municipal Securities Dealers and 7.
... Broker - dealers were affected by the elimination of fixed minimum commis- sion rates largely depending upon the extent to which they served ... securities prices . Regulation of Brokers , Dealers , Municipal Securities Dealers and 7.
Página 10
United States. Securities and Exchange Commission. Regulation of Brokers , Dealers , Municipal Securities Dealers and ... Broker - Dealer Reporting Require- ments - On September 9 , 1980 , the Commission proposed amendments to Form X ...
United States. Securities and Exchange Commission. Regulation of Brokers , Dealers , Municipal Securities Dealers and ... Broker - Dealer Reporting Require- ments - On September 9 , 1980 , the Commission proposed amendments to Form X ...
Otras ediciones - Ver todas
Términos y frases comunes
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