sec docket Volume 8,No.11 December 30,1975 |
From inside the book
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Page 4
... national securities exchange or a registered national securities association may provide that when a member is also a member of one or more national securities exchanges, or of one or more national securities exchanges and a registered ...
... national securities exchange or a registered national securities association may provide that when a member is also a member of one or more national securities exchanges, or of one or more national securities exchanges and a registered ...
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... national securities exchange) ) unless such nonmember broker or dealer meets all of the following conditions: (1) through (4) (no change) (b) Any nonmember broker or dealer who is a member of a national securities exchange shall be ...
... national securities exchange) ) unless such nonmember broker or dealer meets all of the following conditions: (1) through (4) (no change) (b) Any nonmember broker or dealer who is a member of a national securities exchange shall be ...
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... national securities exchange shall be exempt from this rule if (1) he carries no accounts of customers, and (2) his annual gross income derived from purchases and sales of securities otherwise than on a national securities exchange of ...
... national securities exchange shall be exempt from this rule if (1) he carries no accounts of customers, and (2) his annual gross income derived from purchases and sales of securities otherwise than on a national securities exchange of ...
Common terms and phrases
Act and Rule American Stock Exchange application assets Bank Bonds broker or dealer broker-dealer brokers and dealers capital commercial paper Commission's common stock contract customers December delegated authority Eutaw Exchange Act Release Exchange Commission exemption Federal Register fees financial statements Fitzsimmons Secretary SECURITIES Fund George hereby HOLDING COMPANY ACT income interested persons Investment Company Act investors issued Lease market makers Matter ment NASD national securities exchange North Capitol Street NOTICE OF FILING NYSE offer options order a hearing over-the-counter OWNERSHIP EQUITY Penelec post-effective amendment proceedings promulgated proposed rule change proposed transaction PUBLIC UTILITY HOLDING pursuant to delegated pursuant to Section Regulation rules thereunder Secretary SECURITIES EXCHANGE Section 8(f Securities Act Securities and Exchange Securities Exchange Act separate account shares Stock Exchange suant submission subsidiary thereof tion underwriter UTILITY HOLDING COMPANY violations Washington Wilsonville York Stock Exchange