Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
1317. lappuse
... regulatory organizations , and we are reserving at the moment our final decision as to which , if any , of several techniques and proposals that will be presented to you this morning are the answers . We are also not persuaded ...
... regulatory organizations , and we are reserving at the moment our final decision as to which , if any , of several techniques and proposals that will be presented to you this morning are the answers . We are also not persuaded ...
1331. lappuse
... regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the ... regulatory agencies . Another problem identified some time ago was the provision of the Investment Company Act of ...
... regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the ... regulatory agencies . Another problem identified some time ago was the provision of the Investment Company Act of ...
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 ...
1358. lappuse
... Regulatory Agencies Positions The majority of securities exchanges , as well as the NASD , agree with the recommendation of the BASIC Committee that an 81⁄2 " x 11 " document with optical character reading codes is the best design for a ...
... Regulatory Agencies Positions The majority of securities exchanges , as well as the NASD , agree with the recommendation of the BASIC Committee that an 81⁄2 " x 11 " document with optical character reading codes is the best design for a ...
1365. lappuse
... regulation on a statewide basis are well known . To date such developments have been quite slow because of the ... regulated by such laws . The interest of Congress , both as to the banking and securities industry , is well documented ...
... regulation on a statewide basis are well known . To date such developments have been quite slow because of the ... regulated by such laws . The interest of Congress , both as to the banking and securities industry , is well documented ...
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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