Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 57.
1322. lappuse
... companies , and clearing cor- porations of NASD and exchanges if such direct depositor status fits best their clearing systems . 6. Immobilization of certificates to the greatest extent practicable being the objective , the pressures ...
... companies , and clearing cor- porations of NASD and exchanges if such direct depositor status fits best their clearing systems . 6. Immobilization of certificates to the greatest extent practicable being the objective , the pressures ...
1324. lappuse
... companies to convert . The product of this research was included in a widely circulated " Discussion Paper " dated September 9 , 1970 , a copy of which is attached as Exhibit C. Among the reactions received to this Discussion Paper were ...
... companies to convert . The product of this research was included in a widely circulated " Discussion Paper " dated September 9 , 1970 , a copy of which is attached as Exhibit C. Among the reactions received to this Discussion Paper were ...
1326. lappuse
... companies , and other institutions , could be left on deposit with the central depository and thus be immobilized . To ac- complish this , substantial legislative change on the State level will be required . The exchange does not at ...
... companies , and other institutions , could be left on deposit with the central depository and thus be immobilized . To ac- complish this , substantial legislative change on the State level will be required . The exchange does not at ...
1329. lappuse
... companies , one transfer agent *** and a newly created division of Stock Clearing Corporation , the Central Stock Bookkeeping Service , are cooperating in this one - year pilot operation for the centralized handling of securities . The ...
... companies , one transfer agent *** and a newly created division of Stock Clearing Corporation , the Central Stock Bookkeeping Service , are cooperating in this one - year pilot operation for the centralized handling of securities . The ...
1331. lappuse
... . Another problem identified some time ago was the provision of the Investment Company Act of 1940 which had the effect of requiring the custodians of open - end and closed - end investment companies to maintain physical possession 1331.
... . Another problem identified some time ago was the provision of the Investment Company Act of 1940 which had the effect of requiring the custodians of open - end and closed - end investment companies to maintain physical possession 1331.
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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