Securities Exchange Act Amendments of 1973: Hearings, Ninety-third Congress, First Session, on H.R. 5050 and H.R. 340...U.S. Government Printing Office, 1974 |
도서 본문에서
22개의 결과 중 1 - 5개
1775 페이지
... " private club " approach to exchange membership . Any registered broker - dealer could become a member upon meeting applicable standards of compe- tency and responsibility . Today , as you know , there is still an 1775.
... " private club " approach to exchange membership . Any registered broker - dealer could become a member upon meeting applicable standards of compe- tency and responsibility . Today , as you know , there is still an 1775.
1780 페이지
... applicable to these entities , should be vested in either the bank regulatory agencies or the Commission . The approach embodied in S. 2058 provides for rulemaking power shared by the Commission with the Federal bank regulators in the ...
... applicable to these entities , should be vested in either the bank regulatory agencies or the Commission . The approach embodied in S. 2058 provides for rulemaking power shared by the Commission with the Federal bank regulators in the ...
1783 페이지
... applicable only to registrants under the securities processing title ; that is , clearing agencies , depositories , and transfer agents , by making that section applicable to these agencies only , and that section 24 of the Securities ...
... applicable only to registrants under the securities processing title ; that is , clearing agencies , depositories , and transfer agents , by making that section applicable to these agencies only , and that section 24 of the Securities ...
1784 페이지
... applicable standards to be pro- mulgated by the Commission , should be vested in the bank regulatory agencies or the Commission . Pursuant to Title IV of H.R. 5050 the Commission would be the sole regulator of clearing agencies ...
... applicable standards to be pro- mulgated by the Commission , should be vested in the bank regulatory agencies or the Commission . Pursuant to Title IV of H.R. 5050 the Commission would be the sole regulator of clearing agencies ...
1786 페이지
... applicable to brokers , dealers and exchange members to regulate the time and method of making settlement , payments and deliveries , and opening , maintaining , and closing accounts . We believe the only meaningful reading of this ...
... applicable to brokers , dealers and exchange members to regulate the time and method of making settlement , payments and deliveries , and opening , maintaining , and closing accounts . We believe the only meaningful reading of this ...
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자주 나오는 단어 및 구문
additional agency or securities amendments American Bankers Association American Stock Exchange appropriate regulatory agency Association bank regulatory agencies bank regulatory authorities banking agencies believe BEVIS bill Board broker-dealers brokerage brokers Chairman Moss Chicago clearing agency Clearing Corporation Committee Congress CURTIS CUSIP dealer deposit depository participants Depository Trust Depository Trust Company enforcement entities EVANS Exchange Commission Federal Reserve System firms functions funds settlement funds valued today funds valued tomorrow GARDINER institutions interface investors issues legislation Letter dated Midwest mutual funds NASD National Coordinating Group numbering system operations participants problems proposed Section 17A public interest record regional depositories registration regulation require responsibility rulemaking Securities and Exchange Securities Exchange Act securities industry securities processing securities transactions settlement of securities shareholder standards statement stock certificate stock transfer Subcommittee Subsection tion trade Trust Company Uniform Commercial Code vice president York Stock Exchange