Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 79.
1331. lappuse
... agencies such as state superintendents of banks or the Comptroller of the Currency . State law governing the obligations of fiduciaries , for example , often requires the fiduciary to hold securities held as fiduciary separate and apart ...
... agencies such as state superintendents of banks or the Comptroller of the Currency . State law governing the obligations of fiduciaries , for example , often requires the fiduciary to hold securities held as fiduciary separate and apart ...
1341. lappuse
... agency , entails a considerable increase in NYSE liability . While the NYSE's liability will increase in any case , since its data sources will be improved and thereby its ability to act on its responsibilities for regulating its ...
... agency , entails a considerable increase in NYSE liability . While the NYSE's liability will increase in any case , since its data sources will be improved and thereby its ability to act on its responsibilities for regulating its ...
1357. lappuse
... agencies on the status of every participant's security position with the depository . Most or all of the self - regulating authorities in the securities industry support the concept of depositories . We understand that a number of such ...
... agencies on the status of every participant's security position with the depository . Most or all of the self - regulating authorities in the securities industry support the concept of depositories . We understand that a number of such ...
1358. lappuse
... Agencies Positions The majority of securities exchanges , as well as the NASD , agree with the recommendation of the BASIC Committee that an 81⁄2 " x 11 " document with optical character reading codes is the best design for a machine ...
... Agencies Positions The majority of securities exchanges , as well as the NASD , agree with the recommendation of the BASIC Committee that an 81⁄2 " x 11 " document with optical character reading codes is the best design for a machine ...
1361. lappuse
... agency in each geographical area . ( 4 ) Ensure that regionally controlled clearing systems should be obliged to clear all securities transactions in that geographical area , in both listed and over - the - counter securities . ( 5 ) ...
... agency in each geographical area . ( 4 ) Ensure that regionally controlled clearing systems should be obliged to clear all securities transactions in that geographical area , in both listed and over - the - counter securities . ( 5 ) ...
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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