Lietotāju komentāri - Rakstīt atsauksmi
Ierastajās vietās neesam atraduši nevienu atsauksmi.
accounts activities additional American appear appropriate Association authority banks BASIC believe bill Board brokers Central Chairman changes clearance clearing agency Clearing Corporation Commission Committee Company compatibility completion cost customers delivery deposit depository direct Directors effect elimination enforcement establish examination existing Federal firms functions funds give Government handling held House improved institutions interest involved issues laws legislation loans major means meeting million National Bank necessary operations organizations participants performance person present President problem procedures processing proposed question records registration regulation regulatory regulatory agency representatives require Reserve respect responsibility result Roth rules securities industry securities transactions Senator WILLIAMS Service settlement shares standards statement stock certificate Stock Clearing stock transfer Subcommittee tion trade transfer agents Trust volume York Stock Exchange
385. 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.
876. 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.
484. 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...
447. 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...
986. 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...
449. 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.