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
51개의 결과 중 1 - 5개
1778 페이지
... things , provide the Commission with additional authority over the processing of securities transactions and would provide a particularly compre- hensive and effective regulatory framework for the development of an integrated national ...
... things , provide the Commission with additional authority over the processing of securities transactions and would provide a particularly compre- hensive and effective regulatory framework for the development of an integrated national ...
1782 페이지
... things , 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 ...
... things , 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 ...
1783 페이지
... things , are required to maintain current books and records . Some serv- ice bureaus provide broker - dealers with recordkeeping services . My comments are limited to those service bureaus which provide record- keeping capabilities only ...
... things , are required to maintain current books and records . Some serv- ice bureaus provide broker - dealers with recordkeeping services . My comments are limited to those service bureaus which provide record- keeping capabilities only ...
1787 페이지
... things , 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 ...
... things , 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 ...
1802 페이지
... thing , in my opinion . I will have to call on Lee to give me some help in this area , because I am not as familiar with the legal differences between these areas as perhaps I should be . Mr. PICKARD . I will direct myself to that . I ...
... thing , in my opinion . I will have to call on Lee to give me some help in this area , because I am not as familiar with the legal differences between these areas as perhaps I should be . Mr. PICKARD . I will direct myself to that . I ...
기타 출판본 - 모두 보기
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