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
63개의 결과 중 1 - 5개
1780 페이지
... agents , the Commis- sion now believes that , in order to achieve uniformity in recordkeep- ing and reporting , this authority should rest with the Commission . We believe the approach which I have briefly outlined gives 1780.
... agents , the Commis- sion now believes that , in order to achieve uniformity in recordkeep- ing and reporting , this authority should rest with the Commission . We believe the approach which I have briefly outlined gives 1780.
1781 페이지
... gives proper recognition to the resources and skills of bank regulators and at the same time places upon the Commission the responsibility and authority to accomplish the objectives of achieving an integrated , nationwide system for ...
... gives proper recognition to the resources and skills of bank regulators and at the same time places upon the Commission the responsibility and authority to accomplish the objectives of achieving an integrated , nationwide system for ...
1787 페이지
... give a clearing agency or securities depository discretionary authority to deny partici- pation to persons who have been expelled or suspended by a registered clearing agency or securities depository , during the period of such ...
... give a clearing agency or securities depository discretionary authority to deny partici- pation to persons who have been expelled or suspended by a registered clearing agency or securities depository , during the period of such ...
1788 페이지
... give the Commission broad authority to adopt such rules and regulations with respect to the activities of clearing agencies , securities depositories or transfer agents as the Commission finds necessary or appropriate in the public ...
... give the Commission broad authority to adopt such rules and regulations with respect to the activities of clearing agencies , securities depositories or transfer agents as the Commission finds necessary or appropriate in the public ...
1789 페이지
... give the Commission direct disciplinary authority over transfer agents and their partners , officers , directors and employees . As we indicated in our introductory remarks regarding Title IV , we believe that , in the case of transfer ...
... give the Commission direct disciplinary authority over transfer agents and their partners , officers , directors and employees . As we indicated in our introductory remarks regarding Title IV , we believe that , in the case of transfer ...
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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