Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
1329. lappuse
... firms are held in the name of the bank nominee in large denomination certificates , subject to instructions transmitted by the Clearing Corporation . Inter - firm securities movements are reflected by bookkeeping entries in the Clearing ...
... firms are held in the name of the bank nominee in large denomination certificates , subject to instructions transmitted by the Clearing Corporation . Inter - firm securities movements are reflected by bookkeeping entries in the Clearing ...
1330. lappuse
... firms wishing to borrow money from banks may pledge securities on deposit in their CCS accounts without physically making delivery of the certificates to the lending bank . When a firm wishes to take its shares of XYZ Corporation out of ...
... firms wishing to borrow money from banks may pledge securities on deposit in their CCS accounts without physically making delivery of the certificates to the lending bank . When a firm wishes to take its shares of XYZ Corporation out of ...
1333. lappuse
... firms and nonmember broker / dealers . CSDS would , in effect , be a " super - CCS . " It has been estimated that deposits of CSDS of some 4,400 eligible NYSE , Amex and over - the - counter securities by participating brokerage firms ...
... firms and nonmember broker / dealers . CSDS would , in effect , be a " super - CCS . " It has been estimated that deposits of CSDS of some 4,400 eligible NYSE , Amex and over - the - counter securities by participating brokerage firms ...
1338. lappuse
... firms -- clear their own transactions through SCC and may perform the clearance function for other NYSE member firms , subject to Exchange regulations . All NYSE transactions must be cleared through SCC unless other arrangements are ...
... firms -- clear their own transactions through SCC and may perform the clearance function for other NYSE member firms , subject to Exchange regulations . All NYSE transactions must be cleared through SCC unless other arrangements are ...
1339. lappuse
... firm was a net seller or a net buyer of a particular security on that particular day . As the balances are delivered or received by the brokerage firms through Stock Clearing Corporation — now , pri- marily , by computerized bookkeeping ...
... firm was a net seller or a net buyer of a particular security on that particular day . As the balances are delivered or received by the brokerage firms through Stock Clearing Corporation — now , pri- marily , by computerized bookkeeping ...
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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