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 90.
1. lappuse
... volume of transactions which oc- curred during the late 1960's . All too often deliveries to customers were late and stock certificates were lost in the rising tide of paper . Firms lost control of their records and over 100 broker ...
... volume of transactions which oc- curred during the late 1960's . All too often deliveries to customers were late and stock certificates were lost in the rising tide of paper . Firms lost control of their records and over 100 broker ...
47. lappuse
... volume experienced by that person ; ( 2 ) the ability of that person to adapt to a na- tional transfer system with minimal disruption and dis- location of his business ; and ( 3 ) the extent to which the participation of that person in ...
... volume experienced by that person ; ( 2 ) the ability of that person to adapt to a na- tional transfer system with minimal disruption and dis- location of his business ; and ( 3 ) the extent to which the participation of that person in ...
53. lappuse
... volume of paperwork which nearly inundated the industry in 1969 and 1970 . Under the bill's provisions any entity functioning as a depository , transfer agent or clearing agency , as those terms are defined in the bill , would be re ...
... volume of paperwork which nearly inundated the industry in 1969 and 1970 . Under the bill's provisions any entity functioning as a depository , transfer agent or clearing agency , as those terms are defined in the bill , would be re ...
80. lappuse
... volume had not been reported because banks and other financial institutions did not like to publicize their losses . He also felt that there is a large volume of such stolen securities still in financial institutions which are not even ...
... volume had not been reported because banks and other financial institutions did not like to publicize their losses . He also felt that there is a large volume of such stolen securities still in financial institutions which are not even ...
97. lappuse
... volume rose , so did the fails and unresolved differences . The systems employed by the broker - dealers , clearing corporations , depositories and transfer agents were incapable of dealing with fails or unresolved differences of this ...
... volume rose , so did the fails and unresolved differences . The systems employed by the broker - dealers , clearing corporations , depositories and transfer agents were incapable of dealing with fails or unresolved differences of this ...
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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...