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 |
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1779 ÆäÀÌÁö
... function in the settlement and clearing process , but their activities are not coordi- nated into a smooth ... functions . We believe this authority should be strengthened and extended to transfer activities . These seg- ments ...
... function in the settlement and clearing process , but their activities are not coordi- nated into a smooth ... functions . We believe this authority should be strengthened and extended to transfer activities . These seg- ments ...
1781 ÆäÀÌÁö
... functions . The development of a " transfer agent - depository " could , however , pro- vide certain advantages , since it would make depository services avail- able to individual investors and smaller institutions whose participa- tion ...
... functions . The development of a " transfer agent - depository " could , however , pro- vide certain advantages , since it would make depository services avail- able to individual investors and smaller institutions whose participa- tion ...
1785 ÆäÀÌÁö
... functions of a depository . At present , depositories have developed separately from transfer agents both because of the large number of transfer agents which serve indi- vidual issuers of securities and also because depositories were ...
... functions of a depository . At present , depositories have developed separately from transfer agents both because of the large number of transfer agents which serve indi- vidual issuers of securities and also because depositories were ...
1786 ÆäÀÌÁö
... functions in connection with mutual fund shares or variable annuity contracts under proposed paragraph ( 22 ) ( D ) and the exclu- sionary sentence in proposed paragraph ( 25 ) . We suggest that the exclusionary sentence in proposed ...
... functions in connection with mutual fund shares or variable annuity contracts under proposed paragraph ( 22 ) ( D ) and the exclu- sionary sentence in proposed paragraph ( 25 ) . We suggest that the exclusionary sentence in proposed ...
1790 ÆäÀÌÁö
... functions and of their desire that a depository to which they entrust the securities that they hold as fiduciaries look like a bank , feel like a bank and be regulated like a bank . " The Commission will make every effort to accom ...
... functions and of their desire that a depository to which they entrust the securities that they hold as fiduciaries look like a bank , feel like a bank and be regulated like a bank . " The Commission will make every effort to accom ...
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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 Banking and Securities believe BEVIS bill Board broker-dealers brokers Chairman Moss Chicago clearing agency clearing corporations Committee confidential treatment Congress CURTIS CUSIP dealer deposit depository or clearing depository participants Depository Trust Depository Trust Company digit enforcement entities EVANS Federal Reserve System fiduciary FINS firms functions funds settlement funds valued today funds valued tomorrow institutions interface investors issues legislation Midwest mutual funds NASD National Coordinating Group numbering system operations organized participants problems proposed Section 17A public interest record regional depositories registration regulation require responsibility rulemaking Securities and Exchange securities industry securities processing securities transactions settlement of securities shareholder standards statement stock certificate Subcommittee Subsection tion trade Trust Company Uniform Commercial Code York Stock Exchange
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1907 ÆäÀÌÁö - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
1907 ÆäÀÌÁö - Secretary thereupon shall file in the court the record of the proceedings on which he based his action, as provided In section 2112 of title 28, United States Code. Upon the filing of such petition, the court shall have jurisdiction to affirm the action of the Secretary or to set it aside, in whole or in part, temporarily or permanently, but until the filing of the record, the Secretary may modify or set aside his order.
1907 ÆäÀÌÁö - Any person aggrieved by an order issued by the Commission or the Board in a proceeding under this Act to which such person is a party may obtain a review of such order...
1897 ÆäÀÌÁö - Federal savings and loan associations, and it may insure the accounts of building and loan, savings and loan, and homestead associations and cooperative banks organized and operated according to the laws of the State, District, or Territory in which they are chartered or organized.
1897 ÆäÀÌÁö - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
1897 ÆäÀÌÁö - Such term also means any person, such as a securities depository, who (i) acts as a custodian of securities in connection with a system for the central handling of securities whereby all securities of a particular class or series of any issuer deposited within the system are treated as fungible and may be, transferred, loaned, or pledged by bookkeeping entry without physical delivery of securities certificates, or (ii) otherwise permits or facilitates the settlement, of securities transactions or...
1785 ÆäÀÌÁö - Commission may prescribe as necessary or appropriate in the public interest, for the protection of investors...
1863 ÆäÀÌÁö - Board of Governors of the Federal Reserve System © Federal Reserve Bank Cities • Federal Reserve Branch Cities Federal Reserve Bank Facility Guide to Tabular Presentation and Statistical Releases SYMBOLS AND ABBREVIATIONS ¬ã p r ¬æ I.
1989 ÆäÀÌÁö - Each committee may fix the number of its members to constitute a quorum for taking testimony and receiving evidence, which shall be not less than two.
1902 ÆäÀÌÁö - Commission may deem necessary in the public interest or for the protection of investors, withdraw from registration by filing a written notice of withdrawal with the Commission. If the Commission finds that any registered broker or dealer, or any broker or dealer for whom an application for registration is pending, is no longer in existence or has ceased to do business as a broker or dealer, the Commission shall by order cancel the registration or application of such broker or dealer.