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
87개의 결과 중 1 - 5개
1776 페이지
... require competitive commission rates for all transactions on 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 ...
... require competitive commission rates for all transactions on 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 ...
1779 페이지
... require present action toward building a nationwide system for handling securities transactions . We believe that to achieve this , a single public regulatory body must be in a position to oversee the entire process , and we further ...
... require present action toward building a nationwide system for handling securities transactions . We believe that to achieve this , a single public regulatory body must be in a position to oversee the entire process , and we further ...
1780 페이지
... require reports from them , and to enforce compliance by depositories with regulations to be promulgated by the Commission . Where depositories are organized as banks , however , the Commission believes that bank regulators should not ...
... require reports from them , and to enforce compliance by depositories with regulations to be promulgated by the Commission . Where depositories are organized as banks , however , the Commission believes that bank regulators should not ...
1781 페이지
... require the Com- mission to find as a prerequisite to 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 ...
... require the Com- mission to find as a prerequisite to 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 ...
1782 페이지
... require clearing agencies and depositories to submit rule changes along with a summary statement of the changes , and the basis therefor , to the Commission . It would also require all rule changes to be published for comment . As a ...
... require clearing agencies and depositories to submit rule changes along with a summary statement of the changes , and the basis therefor , to the Commission . It would also require all rule changes to be published for comment . As a ...
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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