Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 99.
1315. lappuse
... customers of broker - dealers ' financial condition , as well as the adequacy of audit procedures . Now we shall turn to another important problem , namely , the per- vasive effect of the stock certificate as a primary factor in back ...
... customers of broker - dealers ' financial condition , as well as the adequacy of audit procedures . Now we shall turn to another important problem , namely , the per- vasive effect of the stock certificate as a primary factor in back ...
1327. lappuse
... customers , and the clearance , settlement , and delivery operations . Essentially , the locked - in trade concept ... customer at his request . The eventual goal of this and other current projects is to link the trading floor with the ...
... customers , and the clearance , settlement , and delivery operations . Essentially , the locked - in trade concept ... customer at his request . The eventual goal of this and other current projects is to link the trading floor with the ...
1330. lappuse
... customers would have to get the certificates , make certain that it was signed , checked , stamped , counted , then put in an envelope and make physical delivery through the Stock Clearing Corporation . Similarly , the buying brokerage ...
... customers would have to get the certificates , make certain that it was signed , checked , stamped , counted , then put in an envelope and make physical delivery through the Stock Clearing Corporation . Similarly , the buying brokerage ...
1342. lappuse
... customers , and the clearance , settlement and de- livery operations . Essentially , the locked - in trade concept ... customer at his request ) —to complete the transaction . The key element here is automation of the trading floor ...
... customers , and the clearance , settlement and de- livery operations . Essentially , the locked - in trade concept ... customer at his request ) —to complete the transaction . The key element here is automation of the trading floor ...
1345. lappuse
... customers should not bear the burden of a State tax that will be imposed only as a result of the interfacing of non - New York systems with CCS , with CSDS , or a New York - based clearinghouse , or with a national system located in ...
... customers should not bear the burden of a State tax that will be imposed only as a result of the interfacing of non - New York systems with CCS , with CSDS , or a New York - based clearinghouse , or with a national system located in ...
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Bieži izmantoti vārdi un frāzes
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