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
39개의 결과 중 1 - 5개
1790 페이지
... examinations conducted by it of banks that are registered as clearing agencies , depositories or transfer agents and , upon request , to furnish a copy of such report to the appropriate bank regulatory agency as defined in proposed ...
... examinations conducted by it of banks that are registered as clearing agencies , depositories or transfer agents and , upon request , to furnish a copy of such report to the appropriate bank regulatory agency as defined in proposed ...
1797 페이지
... examinations under this section , except that , notwith- standing any provisions in this section , the Commission shall have authority to make special or other examinations and to require reports of such clearing agencies , securities ...
... examinations under this section , except that , notwith- standing any provisions in this section , the Commission shall have authority to make special or other examinations and to require reports of such clearing agencies , securities ...
1802 페이지
... examination and this type of thing , in my opinion . I will have to call on Lee to give me some help in this area , because I am not as familiar with the legal differences between these areas as perhaps I should be . Mr. PICKARD . I ...
... examination and this type of thing , in my opinion . I will have to call on Lee to give me some help in this area , because I am not as familiar with the legal differences between these areas as perhaps I should be . Mr. PICKARD . I ...
1805 페이지
... examination of bank transfer agents would rest with federal bank regu- lators and the Commission would examine all other entities ; under S. 3876 in- spection of depositories , clearing agencies and transfer agents would rest with the ...
... examination of bank transfer agents would rest with federal bank regu- lators and the Commission would examine all other entities ; under S. 3876 in- spection of depositories , clearing agencies and transfer agents would rest with the ...
1806 페이지
... examinations of bank clearing agencies or depositories prepared by other regulatory organizations in order to assist us in carrying out the responsibilities of informed rulemaking . However , estimates regarding the cost of carrying out ...
... examinations of bank clearing agencies or depositories prepared by other regulatory organizations in order to assist us in carrying out the responsibilities of informed rulemaking . However , estimates regarding the cost of carrying out ...
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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