Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
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1.–5. rezultāts no 100.
1322. lappuse
... regulation by the New York State Banking Department . 5. Eligible depositors would be confined to financial organizations under regulation or supervision of a federal or state authority . This would include broker - dealers , banks ...
... regulation by the New York State Banking Department . 5. Eligible depositors would be confined to financial organizations under regulation or supervision of a federal or state authority . This would include broker - dealers , banks ...
1331. lappuse
... regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the ... regulation - state or federal - which cur- rently would prohibit the fiduciary from giving up physical possession of ...
... regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the ... regulation - state or federal - which cur- rently would prohibit the fiduciary from giving up physical possession of ...
1332. lappuse
... regulation are likely to prove controversial , as it appears that wide- spread support exists in favor of the ... regulatory bodies . There does not appear to be any reason to doubt the success of efforts now under way and , therefore ...
... regulation are likely to prove controversial , as it appears that wide- spread support exists in favor of the ... regulatory bodies . There does not appear to be any reason to doubt the success of efforts now under way and , therefore ...
1357. lappuse
... Regulation T and U of the Federal Reserve System . We feel that the public customer is better protected when his securities are domiciled in the vaults of a depository . Regulatory authorities may verify the segregation requirements of ...
... Regulation T and U of the Federal Reserve System . We feel that the public customer is better protected when his securities are domiciled in the vaults of a depository . Regulatory authorities may verify the segregation requirements of ...
1365. lappuse
... regulation on a statewide basis are well known . To date such developments have been quite slow because of the interrelationships of state laws and the divergence of interest of the many and varied interests of those being governed or ...
... regulation on a statewide basis are well known . To date such developments have been quite slow because of the interrelationships of state laws and the divergence of interest of the many and varied interests of those being governed or ...
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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