Clearence and Settlement of Securities Transactions, Hearings Before the Subcommittee of Securities of ..., 92-1 on S.3412,S.3297, and S.2551, May 9, 10 and 11, 1972110:1:United States: Congress, 22-23. sējumi1972 - 1040 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
vi. lappuse
... changes to S. 3412- 958 Outline of possible regulation of depository with Federal Reserve Board as " appropriate regulatory agency " . 908 Report for 3 months ending March 31 , 1972 . 523 Report of Ad Hoc Communications Committee . 535 ...
... changes to S. 3412- 958 Outline of possible regulation of depository with Federal Reserve Board as " appropriate regulatory agency " . 908 Report for 3 months ending March 31 , 1972 . 523 Report of Ad Hoc Communications Committee . 535 ...
vii. lappuse
... changes to S. 3412 . 193 200 Statement of Richard B. Howland , president , Stock Clearing Corp_- . Stock clearing function _--- 189 216 New York Times , reprint of article_ . 833 Pacific Coast Stock Exchange , statement of Thomas P ...
... changes to S. 3412 . 193 200 Statement of Richard B. Howland , president , Stock Clearing Corp_- . Stock clearing function _--- 189 216 New York Times , reprint of article_ . 833 Pacific Coast Stock Exchange , statement of Thomas P ...
viii. lappuse
... changes for alternative trade com- pletion systems__ . 167 Summary of postulated network _ - _- 540 Transfer volumes for 15 largest New York transfer agents_ 568 Weekly fails to deliver of 62 Amex member forms____ 886 CLEARANCE AND ...
... changes for alternative trade com- pletion systems__ . 167 Summary of postulated network _ - _- 540 Transfer volumes for 15 largest New York transfer agents_ 568 Weekly fails to deliver of 62 Amex member forms____ 886 CLEARANCE AND ...
33. lappuse
... changes in , additions to , or dele- 19 tions from the rules of the clearing agency , and such other 20 information ... change 23 in , addition to , or deletion from the rules of a registered 24 clearing agency shall take effect upon ( 1 ) ...
... changes in , additions to , or dele- 19 tions from the rules of the clearing agency , and such other 20 information ... change 23 in , addition to , or deletion from the rules of a registered 24 clearing agency shall take effect upon ( 1 ) ...
71. lappuse
... change is necessary , whether voluntarily arrived at within the industry , initiated by a " push " from Congress , or by a ... changes therein . Let me give you an idea as to some of the testimony that these five individuals gave to our ...
... change is necessary , whether voluntarily arrived at within the industry , initiated by a " push " from Congress , or by a ... changes therein . Let me give you an idea as to some of the testimony that these five individuals gave to our ...
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Bieži izmantoti vārdi un frāzes
agents and registrars American Bankers Association American Stock Exchange Amex appropriate bank regulatory agencies bank transfer agents banking agencies banking authorities believe bill book-entry bookkeeping entry broker-dealers brokerage firms brokers Central Certificate Service Chairman clearance and settlement clearing agency Clearing Members Committee compatibility COOKENBACH cost CUSIP dealers delivery deposit depository system elimination establish Exchange Commission Federal bank regulatory Federal Reserve Federal Reserve System funds HOWLAND institutions investors involved issuer issues legislation loans member banks NASD National Bank national securities NYSE operations Pacific Coast Stock participants performance problem procedures proposed registration regulatory authority require Section Securities and Exchange securities depository Securities Exchange securities industry securities processing securities transactions Senator ROTH Senator WILLIAMS settlement of securities standards statement stock certificate Stock Clearing Corporation stolen securities Subcommittee tion transfer function Trust Company Uniform Commercial Code Wuensche York Clearing House York Stock Exchange
Populāri fragmenti
387. lappuse - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
72. lappuse - There are additional examples in two reports by the Permanent Subcommittee on Investigations of the Senate Committee on Government Operations.
878. lappuse - I am taking the liberty of sending a copy of this letter to the other members of your committee.
52. lappuse - Federal savings and loan associations, and it may insure the accounts of building and loan, savings and loan, and homestead associations and cooperative banks organized and operated according to the laws of the State, District, or Territory in which they are chartered or organized.
486. lappuse - He was also a member of the Board of Governors of the National Association of Securities Dealers...
157. lappuse - SROS' rules and regulations and review of examination and disciplinary programs. SROS, such as the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE...
449. lappuse - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers...
988. lappuse - It shall be unlawful for any broker, dealer, or exchange, directly or indirectly, to make use of the mails or any means or instrumentality of interstate commerce for the purpose of using any facility of an exchange within or subject to the jurisdiction of the United States...
451. lappuse - Such accounts, correspondence, memoranda, papers, books, and other records shall be subject at any time or from time to time to such reasonable periodic, special, or other examinations by examiners or other representatives of the Commission as the Commission may deem necessary or appropriate in the public interest or for the protection of investors.
52. lappuse - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...