Securities exchange act amendments of 1973: Hearings, Ninety-third Congress, first session, on H.R. 5050 and H.R. 340...
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Hearings held on
SECURITIES EXCHANGE ACT AMENDMENTS OF 1973
September 11 1973 P_ART_5 1773
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Action Oriented amending Amex auction process banks bid or offer block Broker Oriented broker-dealers brokerage firms capital central market system Chairman Moss commission rates Committee competitive commission consolidated tape costs dealer market Decision Makers 000 directors Eckhardt effect Exchange Commission exchange members exchange rules Exchange's execution Financial Decision Makers foreign fourth market institutions interest investment Investors Total last sale Letter dated limit orders listed securities market makers market-makers member firms member organization mutual funds NASD NASDAQ national securities exchange Needham nonmember NYSE member odd-lot dealer operations Oriented Investors percent permitted portfolio position potential investors problems profits proposed public orders purchase quote recommendation registered regulation regulatory revenues Securities and Exchange Securities Exchange Act securities industry securities markets self-regulatory sell orders shares short sale short selling small investors statement subcommittee third market tion trading transactions York Stock Exchange