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
98개의 결과 중 1 - 5개
1764 페이지
... Transfer Agency and Regis- trar Committee , statement-- 1672 1679 1980 1716 1727 1971 Corporate Transfer Agents Association , Inc. , letter dated April 25 , 1973 , from Henry Van Dam , president , to Chairman Moss - Donaldson , Lufkin ...
... Transfer Agency and Regis- trar Committee , statement-- 1672 1679 1980 1716 1727 1971 Corporate Transfer Agents Association , Inc. , letter dated April 25 , 1973 , from Henry Van Dam , president , to Chairman Moss - Donaldson , Lufkin ...
1768 페이지
... transfer agent depositories ... 1804 Draft statutory language to provide the Commission with author- ity over independent service bureaus . - Explanation of the lack of variance in cost estimates regarding the Commission's regulatory ...
... transfer agent depositories ... 1804 Draft statutory language to provide the Commission with author- ity over independent service bureaus . - Explanation of the lack of variance in cost estimates regarding the Commission's regulatory ...
1778 페이지
... transfer agents among the Federal bank regulatory authorities and the Securi- ties and Exchange Commission . Title IV of H.R. 5050 , proceeding on the theory that it is the func- tion performed and not the form of the entity performing ...
... transfer agents among the Federal bank regulatory authorities and the Securi- ties and Exchange Commission . Title IV of H.R. 5050 , proceeding on the theory that it is the func- tion performed and not the form of the entity performing ...
1779 페이지
... transfer agents , and broker- dealers . These entities perform an important and distinct function in the settlement ... transfer agent or retains a separate organization , which may or may not be a bank , to perform that function ...
... transfer agents , and broker- dealers . These entities perform an important and distinct function in the settlement ... transfer agent or retains a separate organization , which may or may not be a bank , to perform that function ...
1780 페이지
... transfer agents organized as banks , and to enforce the standards applicable to these entities , should be vested in either the bank regulatory agencies or the Commission . The approach embodied in S. 2058 provides for rulemaking power ...
... transfer agents organized as banks , and to enforce the standards applicable to these entities , should be vested in either the bank regulatory agencies or the Commission . The approach embodied in S. 2058 provides for rulemaking power ...
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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