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
... respect to the matters under consideration today , we have taken an active role in overseeing the development of new programs in the opera- tional sector of the industry . The Special Study outlined three problem areas as targets of the ...
... respect to the matters under consideration today , we have taken an active role in overseeing the development of new programs in the opera- tional sector of the industry . The Special Study outlined three problem areas as targets of the ...
1331. lappuse
... respect to securities held in each of these capacities is governed in part by agreement with the cus- tomer , in part by the terms of the will or trust agreement under which the bank is acting , in part by applicable state law ( which ...
... respect to securities held in each of these capacities is governed in part by agreement with the cus- tomer , in part by the terms of the will or trust agreement under which the bank is acting , in part by applicable state law ( which ...
1332. lappuse
... respect to any legislative efforts either at the federal or state level - which would be conducive to speeding up the time- table for expanding participation in the central depository . The Exchange does not , at this time , see a need ...
... respect to any legislative efforts either at the federal or state level - which would be conducive to speeding up the time- table for expanding participation in the central depository . The Exchange does not , at this time , see a need ...
1334. lappuse
... respect to the development of a comprehensive depository system . However , as CCS became fully operational — and as its capabilities were rapidly expanded - the probable time - lag factor began to diminish and the Exchange gradually ...
... respect to the development of a comprehensive depository system . However , as CCS became fully operational — and as its capabilities were rapidly expanded - the probable time - lag factor began to diminish and the Exchange gradually ...
1339. lappuse
... services for Clearing Members with respect to their transactions in listed bonds as the Compared Clearance system in use for common and preferred stocks since 1964 . SCC estimated at the end of 1970 that approximately 91 1339.
... services for Clearing Members with respect to their transactions in listed bonds as the Compared Clearance system in use for common and preferred stocks since 1964 . SCC estimated at the end of 1970 that approximately 91 1339.
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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