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.
8. lappuse
... agent , and the identity of the issuers and issues of securi- 12 ties for which it is then acting as transfer agent , and shall 13 contain such other information in such detail as the appro- 14 priate regulatory agency may require as ...
... agent , and the identity of the issuers and issues of securi- 12 ties for which it is then acting as transfer agent , and shall 13 contain such other information in such detail as the appro- 14 priate regulatory agency may require as ...
9. lappuse
Congress. 8 7 1 agent and the name of the appropriate regulatory agency 2 with which it is filing a registration ... regulatory agency or within 7 such shorter period of time as such agency may determine . ( d ) The appropriate regulatory ...
Congress. 8 7 1 agent and the name of the appropriate regulatory agency 2 with which it is filing a registration ... regulatory agency or within 7 such shorter period of time as such agency may determine . ( d ) The appropriate regulatory ...
12. lappuse
... agency , and 10 transfer agent required to be registered pursuant to this 11 Act shall file with the appropriate regulatory agency , in 12 accordance with ... regulatory agency , as 11 1 such regulatory agency by rules or regulations may 12.
... agency , and 10 transfer agent required to be registered pursuant to this 11 Act shall file with the appropriate regulatory agency , in 12 accordance with ... regulatory agency , as 11 1 such regulatory agency by rules or regulations may 12.
13. lappuse
... regulatory agency as such regulatory agency 9 may deem necessary or appropriate for the fulfillment of 10 the objectives of this Act and the rules and regulations 11 thereunder . 12 SEC . 10. ( a ) The appropriate regulatory agencies ...
... regulatory agency as such regulatory agency 9 may deem necessary or appropriate for the fulfillment of 10 the objectives of this Act and the rules and regulations 11 thereunder . 12 SEC . 10. ( a ) The appropriate regulatory agencies ...
15. lappuse
... regulatory agency under subsection 7 10 ( b ) , the Commission shall enforce such requirements . 8 ( d ) ( 1 ) The Commission may , after appropriate notice 9 and opportunity for hearing , by order , censure , or bar or 10 suspend or ...
... regulatory agency under subsection 7 10 ( b ) , the Commission shall enforce such requirements . 8 ( d ) ( 1 ) The Commission may , after appropriate notice 9 and opportunity for hearing , by order , censure , or bar or 10 suspend or ...
Saturs
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115 | |
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169 | |
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277 | |
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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...