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
35개의 결과 중 1 - 5개
1777 페이지
... regard to assuring an effective , competitive central system and another with regard to the processing of securities related issues in the courts . The first item concerns proposed section 17 ( d ) of section 305 , clari- fying the ...
... regard to assuring an effective , competitive central system and another with regard to the processing of securities related issues in the courts . The first item concerns proposed section 17 ( d ) of section 305 , clari- fying the ...
1780 페이지
... regard to transfer agents which are not banks , the Commis- sion should have full responsibility for setting standards and insuring compliance with those standards . In the case of transfer agents which are banks , the Commission ...
... regard to transfer agents which are not banks , the Commis- sion should have full responsibility for setting standards and insuring compliance with those standards . In the case of transfer agents which are banks , the Commission ...
1781 페이지
... regard is not to unnecessarily restrict entry to a clearing agency or securities depository , but rather to insure that all broker - dealers and other financial institutions will have access to such entities on a reasonable and ...
... regard is not to unnecessarily restrict entry to a clearing agency or securities depository , but rather to insure that all broker - dealers and other financial institutions will have access to such entities on a reasonable and ...
1782 페이지
... regard to all rule changes . This matter should be left to the securities depository or clearing agency , subject to Com- mission discretion to solicit additional comments . In any event , where a securities depository or clearing ...
... regard to all rule changes . This matter should be left to the securities depository or clearing agency , subject to Com- mission discretion to solicit additional comments . In any event , where a securities depository or clearing ...
1785 페이지
... regard to transfer agents which are not banks , the Commission would have had full responsibility for setting standards and insur- ing compliance with those standards . In the case of banks which are transfer agents , the Commission ...
... regard to transfer agents which are not banks , the Commission would have had full responsibility for setting standards and insur- ing compliance with those standards . In the case of banks which are transfer agents , the Commission ...
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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