Study of the Securities Industry: Serial No. 92-37b |
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Common terms and phrases
accounts action agency amendments American Bankers Association American Stock Exchange antitrust Association authority automated banks BASIC Bevis Board of Governors broker-dealers brokerage firms brokers Budget Bureau CASEY certificateless Chairman clearance clearing system Commission's Committee cost CUSIP customers Dealers delivery depository system effect elimination Exchange Commission Exchange's Executive Federal Federal Trade Commission filed Haack handling hearings HOWLAND implementation incorporation interest investors issues letter machine-readable certificate MCCOLLISTER member firms membership ment Merrill Lynch million Moss mutual fund NASD NASDAQ NYSE offer of settlement operations organization over-the-counter PAINTER participation present President problems procedures punch card question record registrant regulation regulatory request responsibility rules SCI-TEK Section Securities and Exchange Securities Exchange Act securities industry securities markets securities transactions self-regulation self-regulatory SIPC SPORKIN statement stock certificate Subcommittee submitted tion trading transfer agent violations York Stock Exchange
Popular passages
Page 1678 - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest, and to remove impediments to and perfect the mechanism of a free and open market...
Page 1639 - Commission, the New York Stock Exchange, and the National Association of Securities Dealers.
Page 1809 - To conduct research in the development of improved plans of administrative management, and to advise the executive departments and agencies of the Government with respect to improved administrative organization and practice.
Page 1548 - If we can be of further assistance, please do not hesitate to call on us. Sincerely yours, ROBERT F.
Page 1811 - The officers of the Department of Justice, under the direction of the Attorney General...
Page 1678 - The rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade...
Page 1481 - Exchange ; any other security of the same issuer which is of senior or substantially equal rank; any security called for by subscription rights or warrants so listed or approved ; or any warrant or right to purchase or subscribe to...
Page 1811 - Congress the necessary resources of flexibility and practicality, which will enable it to perform its function in laying down policies and establishing standards, while leaving to selected instrumentalities the making of subordinate rules...
Page 1811 - ... on behalf of the United States, procure the proper evidence for, and conduct, prosecute, or defend all suits and proceedings in the Supreme Court and in the Court of Claims, in which the United States, or any officer...
Page 1811 - The Congress is not permitted to abdicate or to transfer to others the essential legislative functions with which it is thus vested.