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 |
µµ¼ º»¹®¿¡¼
1776 ÆäÀÌÁö
... rule more perniciously undercuts the premises of these goals than does rule 394 which prohibits exchange members from engaging in off - board trading in listed securities , except under the extremely complicated and very difficult ...
... rule more perniciously undercuts the premises of these goals than does rule 394 which prohibits exchange members from engaging in off - board trading in listed securities , except under the extremely complicated and very difficult ...
1777 ÆäÀÌÁö
... rules to assure that broker- dealers execute orders for their customers at the best price . I believe adoption of 209 is absolutely central to the goal of an open market . Rule 394 is designed to preserve the power of New York Stock ...
... rules to assure that broker- dealers execute orders for their customers at the best price . I believe adoption of 209 is absolutely central to the goal of an open market . Rule 394 is designed to preserve the power of New York Stock ...
1781 ÆäÀÌÁö
... rules permitted by that subsection . The Commission believes that the bill should be amended to permit clearing agencies and securities depositories , by rule , to impose criteria for participation in a clearing agency or securities ...
... rules permitted by that subsection . The Commission believes that the bill should be amended to permit clearing agencies and securities depositories , by rule , to impose criteria for participation in a clearing agency or securities ...
1782 ÆäÀÌÁö
... 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 . As a general proposition , a proposed rule change would ...
... 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 . As a general proposition , a proposed rule change would ...
1785 ÆäÀÌÁö
... rules of a clearing agency " or " rules of a securities depository . " We note that there are certain exclusions from the terms " clearing agency , " " securities depository , " and " transfer agent . " In this connection , we wish to ...
... rules of a clearing agency " or " rules of a securities depository . " We note that there are certain exclusions from the terms " clearing agency , " " securities depository , " and " transfer agent . " In this connection , we wish to ...
±âŸ ÃâÆǺ» - ¸ðµÎ º¸±â
ÀÚÁÖ ³ª¿À´Â ´Ü¾î ¹× ±¸¹®
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 banking authorities believe BEVIS bill Board broker-dealers brokerage brokers Chairman Moss Chicago clearing agency Clearing Corporation Committee confidential treatment Congress CURTIS CUSIP dealer deposit depository participants Depository Trust Depository Trust Company enforcement entities EVANS Federal Reserve System fiduciary firms functions funds settlement funds valued today funds valued tomorrow GARDINER institutions interface investors issues legislation Midwest mutual funds NASD National Coordinating Group numbering system operations organized participants problems proposed Section 17A record regional depositories registration regulation require responsibility rulemaking Securities and Exchange Securities Exchange Act securities industry securities transactions settlement of securities shareholder standards statement stock certificate stock transfer Subcommittee Subsection tion trade Trust Company Uniform Commercial Code York Stock Exchange
Àαâ Àο뱸
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.