Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
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1.–5. rezultāts no 62.
1322. lappuse
... amended to permit ownership of it by participants other than an exchange . Stock Clearing Corporation , of which CCS is ... amendments to state laws to end that fiduciary securities held by banks may be deposited in a CSDS . 4. The plan ...
... amended to permit ownership of it by participants other than an exchange . Stock Clearing Corporation , of which CCS is ... amendments to state laws to end that fiduciary securities held by banks may be deposited in a CSDS . 4. The plan ...
1326. lappuse
... amended the Investment Company Act of 1940 to permit deposit of securities in a depository by investment company custodians . Addi- tional large amounts of securities , presently held in the vaults of banks , insurance companies , and ...
... amended the Investment Company Act of 1940 to permit deposit of securities in a depository by investment company custodians . Addi- tional large amounts of securities , presently held in the vaults of banks , insurance companies , and ...
1331. lappuse
... amendments in the laws governing the transfer of shares of its corporations . The implementing legislation , as ... amendment of any controlling law or regulation - state or federal - which cur- rently would prohibit the fiduciary from ...
... amendments in the laws governing the transfer of shares of its corporations . The implementing legislation , as ... amendment of any controlling law or regulation - state or federal - which cur- rently would prohibit the fiduciary from ...
1332. lappuse
... amendments to that provision of the Investment Company Act of 1940 . Another legislative change which must be effected , and is currently being addressed , is the need to amend the New York State Stock Transfer Tax law so that stock ...
... amendments to that provision of the Investment Company Act of 1940 . Another legislative change which must be effected , and is currently being addressed , is the need to amend the New York State Stock Transfer Tax law so that stock ...
1357. lappuse
... amendment to state law as has occurred in New York , or by Federal law pre - empting the field , banks will be able to participate more extensively in depositories . Regulatory Problems The development of our depository has been ...
... amendment to state law as has occurred in New York , or by Federal law pre - empting the field , banks will be able to participate more extensively in depositories . Regulatory Problems The development of our depository has been ...
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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