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" Subcommittee's hearings, testimony was received from representatives of the New York Stock Exchange and the National Association of Securities Dealers, Inc. "
Summaries, conclusions - Página 11
por United States. Securities and Exchange Commission. Special Study of Securities Markets - 1963
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Decisions and Reports

United States. Securities and Exchange Commission - 1953 - 1172 páginas
...that it facilitates the transfer of securities. In this connection attention is directed to rules of the New York Stock Exchange and the National Association of Securities Dealers, Inc., which provide that delivery of a certificate registered in the name of a corporation 1 Bankers carries...
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Investor Protection: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce, United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1964 - 1624 páginas
...then, it may propose some rules U conld write under present law. Hut the Commission's main push will be on the New York Stock Exchange and the National Association of Securities Dealers. BIG BOARD-NASD STUDY MEEN "There definitely will be a study," probably as a joint exchange-NASD project,...
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Review of Small Business Administration's Programs and Policies, 1969 ...

United States. Congress. Senate. Select Committee on Small Business - 1970 - 832 páginas
...brokers, etc We conduct sixteen such examinations for government agencies and nationwide groups such as the New York Stock Exchange and the National Association of Securities Dealers, Inc. I feel there should also be a special management training program for entrepreneurs and possibly a...
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Hearings, Reports and Prints of the Senate Committee on Banking and Currency

United States. Congress. Senate. Committee on Banking and Currency - 1970 - 1242 páginas
...conduct. During the course of the Subcommittee's hearings, testimony was received from representatives of the New York Stock Exchange and the National Association of Securities Dealers, Inc. Both of these agencies have major responsibilities for self -regulation of the securities industry...
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Foreign Bank Secrecy: Hearings, Ninety-first Congress, Second Session, on S ...

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Financial Institutions - 1970 - 372 páginas
...conduct. During the course of the Subcommittee's hearings, testimony was received from representatives of the New York Stock Exchange and the National Association of Securities Dealers, Inc. Both of these agencies have major responsibilities for self-regulation of the securities industry under...
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Foreign Bank Secrecy, Hearing Before the Subcommittee on Financial ...

United States. Congress. Senate. Committee on Banking and Currency - 1970 - 378 páginas
...conduct. During the course of the Subcommittee's hearings, testimony was received from representatives of the New York Stock Exchange and the National Association of Securities Dealers, Inc. Both of these agencies have major responsibilities for self-regulation of the securities industry under...
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Study of the Securities Industry: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 1626 páginas
...self-regulation and will hear from a panel composed of representatives of the Securities and Exchange Commission, the New York Stock Exchange, and the National Association of Securities Dealers. I am very pleased to recognize our first witness, the dean of the House of Representatives, and the...
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Study of the Securities Industry: Serial No. 92-37b

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 562 páginas
...regulation and will hear from a panel composed of representatives of the Securities and Exchange Commission, the New York Stock Exchange, and the National Association of Securities Dealers. I am very pleased to recognize our first witness, the dean of the House of Representatives, and the...
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SEC Docket: A Weekly Compilation of Releases from the Securities ..., Volumen5

United States. Securities and Exchange Commission - 1992 - 1098 páginas
...the Currency ("OCC") and the Board of Governors of the Federal Reserve System ("Board"), as well as the New York Stock Exchange and the National Association of Securities Dealers. Inc.. coordinated with, or assisted, the Commission in obtaining information and evaluating the practices...
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8(a) Program Moratorium and Small Business Administration Personnel ...

United States. Congress. House. Committee on Small Business. Subcommittee on Minority Enterprise and General Oversight - 1977 - 72 páginas
...the Manager of the Central City Office of Mitchum, Jones, and Templeton, a brokerage firm represented on the New York Stock Exchange and the National Association of Securities Dealers, where he was responsible for the management of brokerage service for pension funding, employee stock...
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