Government Securities Reform: Hearings Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, First Session on H.R. 616 and H.R. 618, Bills to Amend the Securities Exchange Act of 1934 and to Extend and Revise Rulemaking Authority with Respect to Government Securities Under the Federal Securities Laws, March 17 and 30, 1993, Volumen4U.S. Government Printing Office, 1993 - 216 páginas |
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abuses activity amended auction authority BASHAM basis points bidding bill Board of Governors bond BREEDEN broker-dealers brokers and dealers cash market Chairman Commission Committee concerning CONGRESS THE LIBRARY cost efficiency Energy and Commerce enforcement exchange members execution Federal Reserve Bank Federal Reserve System financing market firms fraud government securities brokers government securities dealer Government securities market GOVPX investors issue Joint Report large positions legislation LIBRA LIBRARY OF CONGRE LIBRARY OF CONGRESS managed account prohibitions manipulative March 17 market liquidity market participants market surveillance marketplace McDonough million money managers mortgage Mullins NASD primary dealers questions record-keeping records regulation repo market repo rates repurchase agreements require response RESS result rule-making sales practice rules Salomon Brothers Section 11(a Securities Exchange Act short squeezes shortage squeeze statement Strausberg subsection TAUZIN Telecommunications and Finance Telerate testimony Thank tion trading transactions transparency Treasury market Treasury securities Treasury's York Fed ZICKLIN
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Página 140 - Use due diligence to learn the essential facts relative to every customer, every order, every cash or margin account accepted or carried by such organization...
Página 138 - The Honorable Edward J. Markey Chairman, Subcommittee on Telecommunications and Finance Committee on Energy and Commerce House of Representatives...
Página 196 - Rule 19(b) (2), implementing that standard, 13/ imposed an 80-20 test that required each exchange member "to have as the principal purpose of its membership the conduct of a public securities business.
Página 209 - If you have any further questions, please do not hesitate to contact me or Ted Illston, Senior Policy Advisor (703/841-4592.). Statement of Donald A. Osborne, Mayor City of Crookston, Minnesota March 18,2005 "Red Lake River Flood Prevention Project...
Página 47 - ... and efficient financial services industry work together to design a sensible and prudent means of comprehensively modernizing the US regulatory system to keep our firms and our market strong, safe, profitable, and the continued envy of the world. Thank you very much. [Testimony resumes on p. 35.] [The prepared statement of Mr. Breeden follows:] TESTIMONY OF RICHARD C. BREEDEN, CHAIRMAN US SECURITIES AND EXCHANGE COMMISSION CONCERNING FINANCIAL SERVICES MODERNIZATION BEFORE THE SUBCOMMITTEE ON...
Página 150 - Board of Governors of the Federal Reserve System, 20th and C...
Página 99 - Subcommittee's hearings, testimony was received from representatives of the New York Stock Exchange and the National Association of Securities Dealers, Inc.
Página 162 - Should you have any questions about our request, please have your staff contact Mr. Jeffrey S. Duncan of the Subcommittee staff at 226-2424 or Ms.
Página 185 - To amend the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exercise investment discretion.
Página 117 - House of Representatives Washington, DC 20515 Dear Mr. Chairman: Thank you for your letter of December 9, 1981, concerning your recent hearings on HR 808 and HR 3405, immigration bills, "To amend the Immigration and Nationality Act...