Study of the Securities Industry: Hearings Before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-second Congress, First [and Second] Session[s].U.S. Government Printing Office, 1971 - 4623 páginas |
Palavras e frases frequentes
Accounts liquidating aggregate indebtedness amendment ANSWERS TO FINANCIAL assets audit Bache & Co bank between-the-lines entry borrowings broker or dealer broker-dealer brokerage capital requirements capital rule caption cash Chairman collateral committee Commodity Exchange Act Corporation Crypto AG customer's debenture debit balances deduction delivery Department of Member deposits dividends effect equity Exchange's Exempted securities FINANCIAL QUESTIONNAIRE free credit balances funds future contracts haircut hereof hypothecation included income interest investment investors Ledger balances liabilities liquidation loan loss market value member firms member organization Merrill Lynch million Moss NASD NYSE operations partners payable payment percent period POLLACK positions principal amount prior problems protection pursuant question receivable record regulations reported reserve Respondent Robinson Robinson & Co Schedule secured demand note Securities accounts Securities and Exchange securities industry segregation shares statement subcaption subordination agreement tion trading transactions underwriting unsecured Valuation York Stock Exchange
Passagens conhecidas
Página 360 - State or of the United States, a substantial portion of the business of which consists of receiving deposits or exercising fiduciary powers similar to those permitted to national banks under...
Página 177 - STATE OF NEW YORK,) County of New York,) ss. : On this day of , 1910, before me personally came to me known and known to me to be the individual described in and who executed the foregoing instrument, and he duly acknowledged to me that he executed the same.
Página 382 - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...
Página 78 - I would like to invite the committee's attention to the fact that the...
Página 264 - IN WITNESS WHEREOF, the parties hereto have set their hands and seals the day and year first above written.
Página 948 - ... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody and use of customers' securities, and the carrying and use of customers
Página 177 - ... the corporation described in and which executed the above instrument; that he knows the seal of said corporation; that the seal affixed to said instrument is such corporate seal; that it was so...
Página 984 - ... without his written consent with the securities of any other customer, (2) that will permit such securities to be commingled with the securities of any person other than a bona fide customer, or- (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect of such securities.
Página 382 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Página 96 - Mr. Chairman, I do not want to take any more time of the committee. I...