Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.5. rezultāts no 100.
1317. lappuse
... Federal Government . Mr. Moss . Thank you very much . ( The prepared statement follows :) STATEMENT OF JAMES J. NEEDHAM , COMMISSIONER , U.S. SECURITIES AND EXCHANGE COMMISSION Mr. Chairman and members of the subcommittee , I am glad to ...
... Federal Government . Mr. Moss . Thank you very much . ( The prepared statement follows :) STATEMENT OF JAMES J. NEEDHAM , COMMISSIONER , U.S. SECURITIES AND EXCHANGE COMMISSION Mr. Chairman and members of the subcommittee , I am glad to ...
1326. lappuse
... Federal law dealing with clearance , settlement , and transfer of securities transac- tions . All of these matters are receiving vigorous top - priority atten- tion from the self - regulatory bodies . There doesn't seem to be reason to ...
... Federal law dealing with clearance , settlement , and transfer of securities transac- tions . All of these matters are receiving vigorous top - priority atten- tion from the self - regulatory bodies . There doesn't seem to be reason to ...
1331. lappuse
... federal statute , and in part by regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the Currency . State law governing the obligations of fiduciaries , for example , often ...
... federal statute , and in part by regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the Currency . State law governing the obligations of fiduciaries , for example , often ...
1332. lappuse
... federal law pre - empting the field is neces- sary . At the same time , we would certainly be receptive to constructive sug- gestions from the Subcommittee with respect to any legislative efforts either at the federal or state level ...
... federal law pre - empting the field is neces- sary . At the same time , we would certainly be receptive to constructive sug- gestions from the Subcommittee with respect to any legislative efforts either at the federal or state level ...
1345. lappuse
... Federal Government involvement . We recommend legislation by the Congress to exempt the applica- tion of State or municipal transfer taxes to transactions taking place outside that State or municipality . Our recommendation arises from ...
... Federal Government involvement . We recommend legislation by the Congress to exempt the applica- tion of State or municipal transfer taxes to transactions taking place outside that State or municipality . Our recommendation arises from ...
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accounts agency amendments American Bankers Association American Stock Exchange antitrust authority automated banks BASIC Bevis Board of Governors broker-dealers brokerage firms brokers Casey certificateless Chairman clearance clearing system Commission's Committee Congress cost CUSIP customers delivery depository system effect elimination Exchange Commission Exchange's Executive Federal Federal Trade Commission filed Haack handling hearings HOWLAND implementation incorporation interest investors issues legislation letter machine-readable certificate MCCOLLISTER member firms membership ment Merrill Lynch million Moss mutual fund NASD NASDAQ NYSE offer of settlement operations organization over-the-counter PAINTER participation present President problems procedures proposed punch card question record registrant regulation regulatory responsibility rules SCI-TEK Section Securities and Exchange Securities Exchange Act securities industry securities markets securities transactions self-regulation self-regulatory SIPC SPORKIN statement stock certificate subcommittee submitted tion trading transfer agent violations York Stock Exchange