SEC issues class no-action position and exemption under order handling rules for trading in preferred securities
T+3: an institutional perspective
Type of Work:
Motion picture or filmstrip
Registration Number / Date:
PA0000697512 / 1995-03-27
Date of Publication:
March 15, 1995
Date of Creation:
1995
Title:
T+3: an institutional perspective.
Description:
Videocassette ; 1/2 in.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association (158 documents)
example document: Report on asset management accounts 2003
example document: Report on asset management accounts 2003
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T+3: how it will affect you
Type of Work:
Motion picture or filmstrip
Registration Number / Date:
PA0000697557 / 1995-03-27
Date of Publication:
March 15, 1995
Date of Creation:
1995
Title:
T+3: how it will affect you.
Description:
Videocassette ; 1/2 in.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0001727462 / 1986-01-06
Date of Publication:
November 14, 1985
Date of Creation:
1985
Title:
Securities Industry Association : supervisory skills seminar.
Number of similar titles:
6
Variant title:
Securities Industry Association : supervisory skills seminar
Other Title:
Supervisory skills seminar
Copyright Claimant:
Securities Industry Association
Notes:
Cataloged from appl.
Names:
Survey of legal & compliance departments
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0001787159 / 1986-03-13
Date of Publication:
February 20, 1986
Date of Creation:
1986
Title:
Survey of legal & compliance departments.
Copyright Claimant:
Securities Industry Association
Notes:
Cataloged from appl.
Names:
Securities Industry Association (158 documents)
example document: Standard securities calculation methods
example document: Standard securities calculation methods
The U.S. securities markets
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0001894476 / 1986-08-25
Date of Publication:
July 15, 1986
Date of Creation:
1986
Title:
The U.S. securities markets : how they work, their role in the national economy.
Variant title:
The U. S. securities markets : how they work, their role in the national economy
Copyright Claimant:
Securities Industry Association
Notes:
Cataloged from appl.
Names:
Securities industry data guide
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0001914753 / 1986-09-17
Date of Publication:
September 9, 1986
Date of Creation:
1986
Title:
Securities industry data guide.
Description:
8 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association mergers and acquisitions in the New Jersey economy
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0001941327 / 1986-06-02
Date of Publication:
May 8, 1986
Date of Creation:
1986
Title:
Securities Industry Association mergers and acquisitions in the New Jersey economy / Glenn Yago, Gelvin Stevenson.
Copyright Note:
C.O. correspondence.
Description:
sheets.
Other Title:
Mergers and acquisitions in the New Jersey economy
Copyright Claimant:
Securities Industry Association
Authorship on Application:
entire text: Securities Industry Association, employer for hire.
Names:
Glenn Yago
Gelvin Stevenson
Securities Industry Association (158 documents)
example document: Capital markets handbook
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Gelvin Stevenson
Securities Industry Association (158 documents)
example document: Capital markets handbook
Barriers to international securities markets encountered by U. S. broker-dealers
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0002056935 / 1986-03-13
Date of Publication:
October 30, 1985
Date of Creation:
1985
Title:
Barriers to international securities markets encountered by U. S. broker-dealers.
Copyright Note:
C.O. correspondence.
Description:
1 v.
Copyright Claimant:
Securities Industry Association
Names:
The International market
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0002163748 / 1987-09-21
Date of Publication:
July 20, 1987
Date of Creation:
1987
Title:
The International market : growth in primary and secondary activity.
Variant title:
The International market : growth in primary and secondary activity.
Publisher Number:
57 p
Copyright Claimant:
Securities Industry Association
Names:
Wall Street's workforce
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0002530395 / 1989-03-14
Date of Publication:
July 17, 1988
Date of Creation:
1988
Title:
Wall Street's workforce : an analysis of productivity and personnel.
Description:
63 p.
Variant title:
Wall Street's workforce : an analysis of productivity and personnel
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association (158 documents)
example document: Standard securities calculation methods
example document: Standard securities calculation methods
The Securities industry of the eighties
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0002903109 / 1990-09-11
Date of Publication:
September 4, 1990
Date of Creation:
1990
Title:
The Securities industry of the eighties : SIA fact book / editor, Grace Toto.
Description:
31 p.
Copyright Claimant:
Securities Industry Association
Authorship on Application:
Securities Industry Association, employer for hire.
Names:
Protection of customer securities and funds when held in custody at broker-dealers
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003192517 / 1991-11-18
Date of Publication:
November 13, 1991
Date of Creation:
1991
Title:
Protection of customer securities and funds when held in custody at broker-dealers / Sheree F. Levine.
Copyright Claimant:
Securities Industry Association
Names:
Sheree F. Levine
Securities Industry Association (158 documents)
example document: Resource guide for investing
Securities Industry Association (158 documents)
example document: Resource guide for investing
Transfers of securities, money, or other property to minors
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003422330 / 1992-10-23
Date of Publication:
September 28, 1992
Date of Creation:
1992
Title:
Transfers of securities, money, or other property to minors.
Description:
36 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association (158 documents)
example document: Report on asset management accounts 2003
example document: Report on asset management accounts 2003
Report on compensation and benefits practices in specialist firms
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003422887 / 1992-10-23
Date of Publication:
July 24, 1991
Date of Creation:
1991
Title:
Report on compensation and benefits practices in specialist firms.
Description:
102 p.
Copyright Claimant:
Securities Industry Association
Names:
Report on cash compensation of top management in local and regional firms
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003422888 / 1992-10-23
Date of Publication:
August 18, 1990
Date of Creation:
1990
Title:
Report on cash compensation of top management in local and regional firms.
Description:
97 p.
Copyright Claimant:
Securities Industry Association
Names:
Transcripts of SIA's 1992 trends of conference
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003422889 / 1992-10-23
Date of Publication:
April 30, 1992
Date of Creation:
1992
Title:
Transcripts of SIA's 1992 trends of conference : trends in retail and other strategic business lines : Thursday, April 30, 1992.
Description:
sheets.
Variant title:
Transcripts of SIA's 1992 trends of conference : trends in retail and other strategic business lines
Copyright Claimant:
Securities Industry Association
Names:
Standard securities calculation methods
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003560659 / 1993-09-08
Date of Publication:
March 30, 1993
Date of Creation:
1993
Title:
Standard securities calculation methods : v. 1 : fixed income securities formulas for price, yield, and accrued interest / by Jan Mayle.
Edition:
3rd ed.
Basis of Claim:
New Matter: additions, revisions, compilation.
Imprint:
New York : Securities Industry Association, c1993.
Description:
1 v.
Number of similar titles:
1
Similar Title:
Variant title:
Standard securities calculation methods : v. 1
Copyright Claimant:
Securities Industry Association (employer for hire)
Names:
Jan Mayle
Securities Industry Association (158 documents)
example document: Capital markets handbook
Securities Industry Association (158 documents)
example document: Capital markets handbook
Branch office compensation and profitability in 1989
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003582112 / 1992-10-23
Date of Publication:
February 22, 1991
Date of Creation:
1991
Title:
Branch office compensation and profitability in 1989.
Copyright Note:
C.O. correspondence.
Description:
61 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association employee benefits practices in 1992
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003678690 / 1993-09-08
Date of Publication:
January 1, 1993
Date of Creation:
1993
Title:
Securities Industry Association employee benefits practices in 1992.
Copyright Note:
C.O. correspondence.
Series:
SIA special report
Description:
228 p.
Copyright Claimant:
Securities Industry Association
Names:
Prices charged retail clients in 1991
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003708280 / 1992-10-23
Date of Publication:
May 19, 1992
Date of Creation:
1992
Title:
Prices charged retail clients in 1991.
Copyright Note:
C.O. correspondence.
Description:
282 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry databank
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003830658 / 1994-05-27
Date of Publication:
January 6, 1994
Date of Creation:
1994
Title:
Securities Industry databank.
Description:
1 v.
Copyright Claimant:
Securities Industry Association
Names:
ICSA handbook
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003869683 / 1994-08-19
Date of Publication:
June 15, 1994
Date of Creation:
1994
Title:
ICSA handbook : an international guide to regulatory organizations, trade associations and securities industry data.
Application Title:
International Councils of Securities Associations (ICSA) handbook.
Description:
94 p.
Other Title:
International Councils of Securities Associations (ICSA) handbook
Copyright Claimant:
Securities Industry Association
Names:
The New York securities industry
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003869684 / 1994-08-19
Date of Publication:
August 8, 1994
Date of Creation:
1994
Title:
The New York securities industry : its economic impact on New York State and City.
Imprint:
New York : SIA, 1994.
Description:
35 p.
Number of similar titles:
1
Copyright Claimant:
Securities Industry Association
Names:
Report on office salaries, 1993. Prices charged retail clients
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003869820 / 1994-07-19
Date of Publication:
October 6, 1993
Date of Creation:
1993
Title:
Report on office salaries, 1993. Prices charged retail clients.
Description:
2 v.
Variant title:
Report on office salaries, 1993.
Other Title:
Prices charged retail clients.
Copyright Claimant:
Securities Industry Association
Names:
Prices charged retail clients in 1993
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0003878379 / 1994-07-19
Date of Publication:
June 1, 1994
Date of Creation:
1994
Title:
Prices charged retail clients in 1993.
Edition:
4th ed.
Copyright Claimant:
Securities Industry Association
Notes:
Cataloged from appl.
Names:
Agreement for prime brokerage clearance services
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004008865 / 1994-12-27
Date of Publication:
August 1, 1994
Date of Creation:
1994
Title:
Agreement for prime brokerage clearance services.
Copyright Note:
C.O. correspondence.
Description:
6 p.
Copyright Claimant:
Securities Industry Association
Names:
Report on production and earnings of RRs in 1994
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004038864 / 1995-08-03
Date of Publication:
July 1, 1995
Date of Creation:
1995
Title:
Report on production and earnings of RRs in 1994.
Application Title:
SIA special report on production & earnings of RRs in 1994.
Description:
107 p.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association (158 documents)
example document: Report on asset management accounts 2003
example document: Report on asset management accounts 2003
The Stock Market Game
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004140874 / 1995-09-05
Date of Publication:
September 1, 1993
Date of Creation:
1993
Title:
The Stock Market Game.
Description:
Folder.
Number of similar titles:
4
Copyright Claimant:
Securities Industry Association for Economic Education
Names:
Securities Industry Association for Economic Education
Investor topics
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004345747 / 1996-07-29
Date of Publication:
June 10, 1996
Date of Creation:
1996
Title:
Investor topics : basics of investing.
Description:
1 v.
Copyright Claimant:
Securities Industry Association
Names:
Securities Industry Association (158 documents)
example document: Report on asset management accounts 2003
example document: Report on asset management accounts 2003
Opportunities for expanding your asset management business
Type of Work:
Non-dramatic literary work
Registration Number / Date:
TX0004359207 / 1996-06-25
Date of Publication:
September 21, 1995
Date of Creation:
1995
Title:
Opportunities for expanding your asset management business : essential considerations in accessing the Japanese pension fund market.
Copyright Note:
C.O. correspondence.
Description:
14 p.
Copyright Claimant:
Securities Industry Association
Names:
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