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.
1. lappuse
... funds and securities from the conse- quences of financial mismanagement . But we in the Congress were not satisfied with merely insuring the public against brokerage house failures . We began to exercise a closer and continuing scrutiny ...
... funds and securities from the conse- quences of financial mismanagement . But we in the Congress were not satisfied with merely insuring the public against brokerage house failures . We began to exercise a closer and continuing scrutiny ...
7. lappuse
... funds , operational compati- bility of the depository or clearing agency with other persons involved in the securities handling process , and access to the services provided by such depository or clearing agency ; and ( ii ) Copies of ...
... funds , operational compati- bility of the depository or clearing agency with other persons involved in the securities handling process , and access to the services provided by such depository or clearing agency ; and ( ii ) Copies of ...
11. lappuse
... funds , and operational 12 compatibility of the transfer agent with other persons in- 13 volved in the securities handling process . 14 15 SEC . 7. No broker or dealer shall make use of the mails or of any means or instrumentality of ...
... funds , and operational 12 compatibility of the transfer agent with other persons in- 13 volved in the securities handling process . 14 15 SEC . 7. No broker or dealer shall make use of the mails or of any means or instrumentality of ...
23. lappuse
... of safekeeping , transferring , hypothecating and 23 accounting for funds and securities , and such other informa- 24 tion as the Commission may , by rules and regulations re- 5 1 quire as necessary or appropriate in the public 23.
... of safekeeping , transferring , hypothecating and 23 accounting for funds and securities , and such other informa- 24 tion as the Commission may , by rules and regulations re- 5 1 quire as necessary or appropriate in the public 23.
24. lappuse
... funds and securities held for the accounts of participants , and to comply with the provisions of this title and the rules and regulations thereunder , and to carry out the purposes of this section ; " ( 3 ) the rules of the clearing ...
... funds and securities held for the accounts of participants , and to comply with the provisions of this title and the rules and regulations thereunder , and to carry out the purposes of this section ; " ( 3 ) the rules of the clearing ...
Saturs
1 | |
9 | |
57 | |
64 | |
81 | |
115 | |
137 | |
138 | |
289 | |
298 | |
317 | |
321 | |
331 | |
350 | |
393 | |
395 | |
169 | |
179 | |
187 | |
189 | |
277 | |
287 | |
406 | |
525 | |
610 | |
804 | |
817 | |
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...