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
61개의 결과 중 1 - 5개
1785 페이지
... person associated with a participant , " " transfer agent , " " bank regulatory agency , " and " rules of a clearing agency " or " rules of a securities depository . " We note that there are certain exclusions from the terms " clearing ...
... person associated with a participant , " " transfer agent , " " bank regulatory agency , " and " rules of a clearing agency " or " rules of a securities depository . " We note that there are certain exclusions from the terms " clearing ...
1786 페이지
... person , security , transaction , clearing agency , securities depository or transfer agent , or class or classes ... persons performing the function of transfer agent with respect to securities which are registered pursuant to Section ...
... person , security , transaction , clearing agency , securities depository or transfer agent , or class or classes ... persons performing the function of transfer agent with respect to securities which are registered pursuant to Section ...
1787 페이지
... persons who have been expelled or suspended by a registered clearing agency or securities depository , during the period of such expulsion or suspension . The Commission believes that its approval should be required before a person ...
... persons who have been expelled or suspended by a registered clearing agency or securities depository , during the period of such expulsion or suspension . The Commission believes that its approval should be required before a person ...
1788 페이지
... persons associated with a participant , and review of denials of admission . Commission review of such action would be upon application of an aggrieved person filed within 30 days after such action has been taken or upon the ...
... persons associated with a participant , and review of denials of admission . Commission review of such action would be upon application of an aggrieved person filed within 30 days after such action has been taken or upon the ...
1789 페이지
... persons associated with participants . Subsection ( m ) ( 3 ) would give the Commission authority to remove from office any officer or director of a clearing agency or securities depository who willfully failed to enforce the rules of ...
... persons associated with participants . Subsection ( m ) ( 3 ) would give the Commission authority to remove from office any officer or director of a clearing agency or securities depository who willfully failed to enforce the rules of ...
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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