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
1766 페이지
... Funds Settlement for Securities Transactions ... . 1853 Letter dated November 17 , 1972 , from National Clearing Corp. to Joseph P. Coriaci , chairman , working committee , presenting findings and recommendations of Subcommittee on ...
... Funds Settlement for Securities Transactions ... . 1853 Letter dated November 17 , 1972 , from National Clearing Corp. to Joseph P. Coriaci , chairman , working committee , presenting findings and recommendations of Subcommittee on ...
1785 페이지
... Finance. the Commission and the bank regulatory authorities . Specifically , the ... settlement of securities transactions . We believe this is appro- priate ... funds and securities , security and financial responsibility . And , to the ...
... Finance. the Commission and the bank regulatory authorities . Specifically , the ... settlement of securities transactions . We believe this is appro- priate ... funds and securities , security and financial responsibility . And , to the ...
1786 페이지
... Finance. 2. Compute the portions of the investor's payment due to the fund , the under- writer , and the retailing dealer ... settlement , payments and deliveries , and opening , maintaining , and closing accounts . We believe the only ...
... Finance. 2. Compute the portions of the investor's payment due to the fund , the under- writer , and the retailing dealer ... settlement , payments and deliveries , and opening , maintaining , and closing accounts . We believe the only ...
1791 페이지
... Finance. stock certificate as a means of settlement among brokers by December 31 , 1976 . We are in complete ... funds or securities , ( B ) require the revealing of trade secrets or processes , or ( C ) impair the value of a contract ...
... Finance. stock certificate as a means of settlement among brokers by December 31 , 1976 . We are in complete ... funds or securities , ( B ) require the revealing of trade secrets or processes , or ( C ) impair the value of a contract ...
1810 페이지
... Finance. the transfer agent acts as a transfer agent depository , or TAD . The Senate ... funds do not have certificates unless they specifically request them ... settlement of a securities trans- action , DTC transfers shares from one ...
... Finance. the transfer agent acts as a transfer agent depository , or TAD . The Senate ... funds do not have certificates unless they specifically request them ... settlement of a securities trans- action , DTC transfers shares from one ...
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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