Institutional membership on national securities exchanges: Hearings, Ninety-second Congress, second session, on S. 1163 and S. 3347 ...
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
U.S. Govt. Print. Off., 1972 - Business & Economics - 906 pages
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James W Walker Jr executive vice president American Stock Exchange
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activities advisory affiliated brokers American Stock Exchange answer believe broker-dealers brokerage and money brokerage business brokerage firm capital central market combination of brokerage competitive competitive commission concentrations of economic conflicts of interest corporation dangers dealer discount economic power exchange markets exchange members exchange membership execution existing fiduciary firm's fixed commission rates floor handling transactions individual investors institutional affiliates institutional members institutional membership institutional trading investment company limitation market makers market place market-making membership arrangements money management mutual fund NASDAQ National Market System national securities exchanges negotiated rates non-affiliated customers non-member number of exchange NYSE orderly orders parent percentage portfolio potential conflict primary purpose prohibited public interest public investors questionnaire rebate rebative practices recapture regional exchanges regulation rules securities business securities industry securities markets Senate serve the public solely specialist Statement stockholders Subcommittee third market tion types U.S. Senate York Stock Exchange