sec docket Volume 8,No.11 December 30,1975 |
From inside the book
Results 1-3 of 69
Page 7
... over-thecounter; (ii) executing customers' orders as principal overthe-counter; (iii) “positioning" a portion of a large block (by acquiring stock for his own account) over-the-counter to facilitate a block trade; and (iv) acquiring or ...
... over-thecounter; (ii) executing customers' orders as principal overthe-counter; (iii) “positioning" a portion of a large block (by acquiring stock for his own account) over-the-counter to facilitate a block trade; and (iv) acquiring or ...
Page 9
... counter market makers which have joined certain regional exchanges as alternate specialists, 103/ and that, in any ... over-the-counter market makers as members, not all regional exchanges permit over-the-counter market makers to join ...
... counter market makers which have joined certain regional exchanges as alternate specialists, 103/ and that, in any ... over-the-counter market makers as members, not all regional exchanges permit over-the-counter market makers to join ...
Page
... over-the-counter market makers which are members of those exchanges. If, indeed, this does occur it would appear inconsistent with the purposes of the Act for the Commission to attempt to prevent it. 130/ But there may be significant ...
... over-the-counter market makers which are members of those exchanges. If, indeed, this does occur it would appear inconsistent with the purposes of the Act for the Commission to attempt to prevent it. 130/ But there may be significant ...
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