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
33개의 결과 중 1 - 5개
1774 페이지
... existing law . In addition , I wholeheartedly endorse the policy of H.R. 5050 not to grant such immunity in the future . Permit me one additional comment on the immunity question be- fore moving on . In recent years , the exchange ...
... existing law . In addition , I wholeheartedly endorse the policy of H.R. 5050 not to grant such immunity in the future . Permit me one additional comment on the immunity question be- fore moving on . In recent years , the exchange ...
1783 페이지
... existing provisions of section 24 have worked well , and there seems no need to disturb them in legislation dealing with securities processing . We accordingly suggest that the provisions of section 405 be made applicable only to ...
... existing provisions of section 24 have worked well , and there seems no need to disturb them in legislation dealing with securities processing . We accordingly suggest that the provisions of section 405 be made applicable only to ...
1790 페이지
... existing Section 17 ( a ) of the Act . We support this provision . Subsection ( p ) ( 1 ) of proposed Section 17A would require the Commission to prepare full and detailed reports of all examinations conducted by it of banks that are ...
... existing Section 17 ( a ) of the Act . We support this provision . Subsection ( p ) ( 1 ) of proposed Section 17A would require the Commission to prepare full and detailed reports of all examinations conducted by it of banks that are ...
1791 페이지
... existing provisions of Section 24 have worked well , and there seems no need to disturb them in legislation dealing with securities processing . We accordingly suggest that the provisions of Section 405 be made applicable only to ...
... existing provisions of Section 24 have worked well , and there seems no need to disturb them in legislation dealing with securities processing . We accordingly suggest that the provisions of Section 405 be made applicable only to ...
1792 페이지
... existing Section 24 ( b ) , if a person objects to the disclosure of informa- tion subject to that Section , the information is treated as confidential unless the Commission determines that disclosure is in the public interest . Under ...
... existing Section 24 ( b ) , if a person objects to the disclosure of informa- tion subject to that Section , the information is treated as confidential unless the Commission determines that disclosure is in the public interest . Under ...
기타 출판본 - 모두 보기
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