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
84개의 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.
1776 페이지
... registered exchanges . It is , I believe , a far healthier and more pervasive solution to current industry ills than the halfway proposal of the SEC . The Commission would by 1974 allow negotiated rates on transactions over $ 100,000 ...
... registered exchanges . It is , I believe , a far healthier and more pervasive solution to current industry ills than the halfway proposal of the SEC . The Commission would by 1974 allow negotiated rates on transactions over $ 100,000 ...
1780 페이지
... registration , inspection and enforcement responsibilities should be undertaken by the Federal bank regulatory authorities . The Commission believes that this division of responsibilities for bank transfer agents should be considered by ...
... registration , inspection and enforcement responsibilities should be undertaken by the Federal bank regulatory authorities . The Commission believes that this division of responsibilities for bank transfer agents should be considered by ...
1781 페이지
... registration that a securities depository or clearing agency meets the criteria set forth in this sub- section . Subsection ( d ) ( 2 ) would require the rules of the clearing agency or securities depository to provide that certain ...
... registration that a securities depository or clearing agency meets the criteria set forth in this sub- section . Subsection ( d ) ( 2 ) would require the rules of the clearing agency or securities depository to provide that certain ...
1783 페이지
... registration statements and reports of corporate issuers . While the provisions of section 405 of H.R. 5050 are ... registered clearing agency or depository , or upon the delivery or transfer of securities effected through such ...
... registration statements and reports of corporate issuers . While the provisions of section 405 of H.R. 5050 are ... registered clearing agency or depository , or upon the delivery or transfer of securities effected through such ...
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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