SEC issues class no-action position and exemption under order handling rules for trading in preferred securities part 2
Portability of mutual fund shares
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004488503 / 1997-02-18
Date of Publication:
January 31, 1997
Date of Creation:
1997
Title:
Portability of mutual fund shares : confidential survey.
Description:
6 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association (38 documents)
example document: Capital markets handbook
example document: Capital markets handbook
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1997 information technology survey
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004488511 / 1997-02-18
Date of Publication:
January 31, 1997
Date of Creation:
1997
Title:
1997 information technology survey.
Description:
15 p.
Copyright Claimant:
Securities Industry Association
Authorship on Application:
collaborative effort: Securities Industry Association & the Tower Group.
Names:
Securities Industry Association (38 documents)
example document: Best practices for research
Tower Group
example document: Best practices for research
Tower Group
1997 information technology survey--data summary
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004545128 / 1997-09-17
Date of Publication:
August 18, 1997
Date of Creation:
1997
Title:
1997 information technology survey--data summary.
Description:
68 p.
Copyright Claimant:
Securities Industry Association
Authorship on Application:
Securities Industry Association & Tower Group, employers for hire.
Names:
Securities Industry Association
Tower Group
Tower Group
Understanding market risks
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004695464 / 1997-12-15
Date of Publication:
November 6, 1997
Date of Creation:
1997
Title:
Understanding market risks : what every investor should know.
Description:
18 p.
Variant title:
Understanding market risks : what every investor should know
Copyright Claimant:
Securities Industry Association
Names:
Prototype Roth individual retirement account
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004695572 / 1997-12-15
Date of Publication:
November 21, 1997
Date of Creation:
1997
Title:
Prototype Roth individual retirement account.
Description:
33 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
Report on asset management accounts, 1997
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004711728 / 1998-06-02
Date of Publication:
April 17, 1998
Date of Creation:
1998
Title:
Report on asset management accounts, 1997 : special report.
Description:
58 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
The information technology capacity study
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004711729 / 1998-06-02
Date of Publication:
April 17, 1998
Date of Creation:
1998
Title:
The information technology capacity study : securities industry (1998-2000) / prepared by the Tower Group.
Description:
33 p.
Variant title:
The information technology capacity study : securities industry (1998-2000)
Copyright Claimant:
Securities Industry Association (employer for hire)
Names:
Tower Group
Securities Industry Association
Securities Industry Association
Report on institutional firms, 1997
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004876595 / 1998-10-20
Date of Publication:
August 10, 1998
Date of Creation:
1998
Title:
Report on institutional firms, 1997.
Description:
95 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
Study of prices charged retail clients in 1998
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004961081 / 1999-03-18
Date of Publication:
February 26, 1999
Date of Creation:
1999
Title:
Study of prices charged retail clients in 1998.
Description:
200 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association (38 documents)
example document: Report on asset management accounts 2003
example document: Report on asset management accounts 2003
Diversity practices and resources
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005129633 / 2000-02-04
Date of Publication:
November 5, 1999
Date of Creation:
1999
Title:
Diversity practices and resources : a guide to the new America / Pamela I. Faber, Fredda L. Plesser, editors.
Imprint:
New York : SIA, c1999.
Description:
1 v.
Copyright Claimant:
Securities Industry Association (employer for hire)
Names:
Pamela I. Faber
Fredda L. Plesser
Securities Industry Association
Fredda L. Plesser
Securities Industry Association
The report on operations in the securities industry, 1999
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005162559 / 2000-05-01
Date of Publication:
April 7, 2000
Date of Creation:
2000
Title:
The report on operations in the securities industry, 1999.
Description:
CD-ROM.
Copyright Claimant:
Securities Industry Association
Names:
Buying stock on margin
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005350455 / 2001-02-06
Date of Publication:
September 18, 2000
Date of Creation:
2000
Title:
Buying stock on margin : the basics.
Description:
8 p.
Variant title:
Buying stock on margin : the basics.
Copyright Claimant:
Securities Industry Association
Names:
Powering the global economy
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005412114 / 2001-06-21
Date of Publication:
March 21, 2001
Date of Creation:
2001
Title:
Powering the global economy.
Description:
1 v.
Copyright Claimant:
Securities Industry Association
Names:
The New York securities industry
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005437949 / 2001-09-06
Date of Publication:
June 1, 2001
Date of Creation:
2001
Title:
The New York securities industry : its economic impact on New York State and City : June 2001 update.
Basis of Claim:
New Matter: additional text and data revisions.
Previous Registration:
Prev. reg. 1994, TX 3-869-684.
Description:
22 p.
Copyright Claimant:
Securities Industry Association
Names:
Report on salary & bonus increases for 2002
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005474223 / 2002-01-25
Date of Publication:
September 10, 2001
Date of Creation:
2001
Title:
Report on salary & bonus increases for 2002.
Description:
7 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
Research conducted on publicly traded companies
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0005804805 / 2003-08-11
Date of Publication:
June 13, 2003
Date of Creation:
2003
Title:
Research conducted on publicly traded companies : summary report, June 2003.
Description:
30 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
The cost of compliance in the US securities industry
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0006335621 / 2006-03-23
Date of Publication:
February 22, 2006
Date of Creation:
2006
Title:
The cost of compliance in the US securities industry.
Copyright Note:
Cataloged from appl. only.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
SIA obtains relief from SEC for basket trading during tender offers or exchange offers
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TXu000803643 / 1997-09-17
Date of Creation:
1997
Title:
SIA obtains relief from SEC for basket trading during tender offers or exchange offers.
Series:
Legal alert ; no. 97-10
Description:
4 p.
Other Title:
Legal alert ; no. 97-10
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
SEC issues class no-action position and exemption under order handling rules for trading in preferred securities
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TXu000803644 / 1997-09-17
Date of Creation:
1997
Title:
SEC issues class no-action position and exemption under order handling rules for trading in preferred securities.
Series:
Legal alert ; no. 97-11
Description:
5 p.
Other Title:
Legal alert ; no. 97-11
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
Securities industry yearbook
Title:
Securities industry yearbook.
Serial Publication Year:
2000
Imprint:
New York : The Association.
Description:
print material.
Description based on:
No. 7, 1986-87.
Copyright Claimant:
Securities Industry Association.
Names:
Securities Industry Association
Securities industry yearbook
Title:
Securities industry yearbook / Barbara VanDyk, editor.
Basis of Claim:
New matter: updating.
Serial Publication Year:
1984
Imprint:
[s.l.] : SIA.
Description:
print material.
Description based on:
1984-85 issue.
Copyright Claimant:
Securities Industry Association.
Authorship on Application:
Securities Industry Association, employer for hire.
Names:
Barbara VanDyk
Securities Industry Association
Securities Industry Association
Tax briefs from S I A
Title:
Tax briefs from S I A / Securities Industry Association.
Serial Publication Year:
1986
Imprint:
New York : SIA.
Description:
print material.
Frequency:
Quarterly.
Description based on:
Vol. 3, no. 3, June 25, 1986.
Vol. 3, no. 1, Jan. 24, 1986.
Vol. 3, no. 1, Jan. 24, 1986.
Copyright Claimant:
Securities Industry Association.
Notes:
Pub. periodically.
Names:
Securities Industry Association (38 documents)
example document: Best practices
SIA. (3 documents)
example document: Scouts in Action
example document: Best practices
SIA. (3 documents)
example document: Scouts in Action
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Tax briefs from S I A
Title:
Tax briefs from S I A / Securities Industry Association.
Serial Publication Year:
1993
Imprint:
New York : SIA.
Description:
print material.
Description based on:
Vol. 3, no. 3, June 25, 1986.
Copyright Claimant:
Securities Industry Association.
Notes:
Pub. periodically.
Names:
SIA.
Securities Industry Association
Securities Industry Association
Sources
Title:
Sources : the securities executive's guide to products & services ....
Title Qualifier:
Securities Industry Assn.
Serial Publication Year:
1988
Imprint:
New York : The Association.
Description:
print material.
Frequency:
Annually.
Description based on:
1988-89 issue.
Copyright Claimant:
Securities Industry Association.
Names:
Securities Industry Association
Sources
Title:
Sources : the securities executive's guide to products & services / S I A.
Title Qualifier:
Securities Industry Assn.
Serial Publication Year:
1989
Imprint:
New York : SIA.
Description:
print material.
Frequency:
Annually.
Description based on:
1989-90 issue.
Copyright Claimant:
Securities Industry Association.
Authorship on Application:
Securities Industry Association, employer for hire.
Names:
International capital markets review
Title:
International capital markets review / produced by the SIA Research Department.
Copyright Note:
No issues recorded for year
Serial Publication Year:
1992
Description:
print material.
Frequency:
Frequency unknown.
Description based on:
Vol. 8, no. 3, Sept. 13, 1991.
Names:
SIA Research Department
SIA
Securities Industry Association. Research Department
Securities Industry Association
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SIA
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Securities Industry Association. Research Department
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Securities Industry Association
Management & professional earnings .
Title:
Management & professional earnings . / Securities Industry Association.
Serial Publication Year:
2003
Description:
print material.
Frequency:
Annually.
Variant title:
Report on management and professional earnings.
Description based on:
1992 issue.
Copyright Claimant:
Securities Industry Association.
Names:
Report on office salaries .
Title:
Report on office salaries . / Securities Industry Association.
Serial Publication Year:
1994
Description:
print material.
Frequency:
Frequency unknown.
Description based on:
1991 issue.
Copyright Claimant:
Securities Industry Association.
Names:
Securities Industry Association
Budgeted salary and bonus increases for ..
Title:
Budgeted salary and bonus increases for ...
Application Title:
Securities Industry Association budgeted salary and bonus increases for ....
Serial Publication Year:
1994
Description:
print material.
Frequency:
Annually.
Variant title:
Report on budgeted salary and bonus increases ....
Description based on:
1994 issue.
Copyright Claimant:
Securities Industry Association.
Names:
Securities Industry Association
Securities industry fact book
Title:
Securities industry fact book.
Serial Publication Year:
1994
Description:
print material.
Frequency:
Annually.
Description based on:
1994 issue.
Copyright Claimant:
Securities Industry Association.
Names:
Securities Industry Association
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