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
... tion is absolutely necessary in this area . That , essentially , is our position , Mr. Chairman , and we look to your record , frankly , to assist us in making a final determination as to the participation of the Federal Government . Mr ...
... tion is absolutely necessary in this area . That , essentially , is our position , Mr. Chairman , and we look to your record , frankly , to assist us in making a final determination as to the participation of the Federal Government . Mr ...
1324. lappuse
... tion than I believed possible earlier . The greatest benefits of machine - readable certificates would have been derived by procedures applied to large accumulations of certificates in bulk without any attachments , mostly in brokers ...
... tion than I believed possible earlier . The greatest benefits of machine - readable certificates would have been derived by procedures applied to large accumulations of certificates in bulk without any attachments , mostly in brokers ...
1326. lappuse
... tion from the self - regulatory bodies . There doesn't seem to be reason to doubt the success of efforts now underway , and we do not see prospective advantage to Federal legislation that would attempt to preempt the field in this area ...
... tion from the self - regulatory bodies . There doesn't seem to be reason to doubt the success of efforts now underway , and we do not see prospective advantage to Federal legislation that would attempt to preempt the field in this area ...
1328. lappuse
... tion . Today , CCS is working successfully . It can now be expanded into a national system . Steps for this have been taken . We recently an- nounced the application by the Midwest and the Pacific Coast Stock Exchange Clearing ...
... tion . Today , CCS is working successfully . It can now be expanded into a national system . Steps for this have been taken . We recently an- nounced the application by the Midwest and the Pacific Coast Stock Exchange Clearing ...
1331. lappuse
... tion of CCS . Even though the securities purchased by an institution are in the central depository and could be transferred to the buying broker by bookkeeping entry , the buying broker , in order to receive payment from his ...
... tion of CCS . Even though the securities purchased by an institution are in the central depository and could be transferred to the buying broker by bookkeeping entry , the buying broker , in order to receive payment from his ...
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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