 Commission may prescribe as necessary or appropriate in the public, interest or for the protection of investors, the rules of a national securities exchange may permit (1) a member to be registered as an odd-lot dealer and as such to buy and sell for...  National Securities Market System Act of 1973: Hearings, Ninety-third ... - Página 7por United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1973 - 743 páginasVisualização integral - Acerca deste livro
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 páginas
...exchange may permit a member to be registered as an odd-lot dealer and as such he will be permitted to buy and sell for his own account so far as may be reasonably necessary to carry on such odd-lot transactions ; it also provides that it shall be unlawful... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...Securities Exchange Act of 1934: If under the rules and regulations of the Commission a specialist is permitted to act as a dealer, or is limited to acting as a dealer, such rules and regulations shall restrict his dealings so far as practicable to those reasonably... | |
 | United States - 1938 - 48 páginas
...rules of a national securities exchange may permit (1) a member to be registered as an odd-lot dealer and as such to buy and sell for his own account so far as may be reasonably necessary to carry on such oddlot transactions, and/or (2) a member to be registered... | |
 | United States. Securities and Exchange Commission - 1956 - 900 páginas
...rules of a national securities exchange may permit (1) a member to be registered as an odd-lot dealer and as such to buy and sell for his own account so far as may be reasonably necessary to carry on such odd-lot transactions, and/or (2) a member to be registered... | |
 | United States - 1953 - 1692 páginas
...rules of a national securities exchange may permit (1) a member to be registered as an odd-lot dealer and as such to buy and sell for his own account so far as may be reasonably necessary to carry on such odd-lot transactions, and/or (2) a member to be registered... | |
 | United States. Securities and Exchange Commission - 1944 - 1290 páginas
...the Act provides, inter alia: If under the rules and regulations of the Commission a specialist Is permitted to act as a dealer, or Is limited to acting as a dealer, such rules and regulations shall restrict his dealings so far as practicable to those reasonably... | |
 | United States - 1955 - 54 páginas
...rules of a national securities exchange may permit (1) a member to be registered as an odd-lot dealer and as such to buy and sell for his own account so far as may be reasonably necessary to carry on such odd-lot transactions, and/or (2) a member to be registered... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1959 - 658 páginas
...rules of a national securities exchange may permit (1) a member to be registered as an odd-lot dealer and as such to buy and sell for his own account so far as may be reasonably necessary to carry on such odd-lot transactions, and/or (2) a member to be registered... | |
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