Regulation of Clearing Agencies and Transfer Agents, Hearings Before the Subcommittee on Securities of ..., 93-1 on S.2058 ..., July 11 and 12, 19731973 - 524 lappuses |
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1.5. rezultāts no 100.
19. lappuse
... ( 1 ) The appropriate regulatory agency , after appropri- 23 ate notice and opportunity for hearing , is authorized , by 24 order , if such action appears to be necessary or appropriate " 18 1 in the public interest or for the 19.
... ( 1 ) The appropriate regulatory agency , after appropri- 23 ate notice and opportunity for hearing , is authorized , by 24 order , if such action appears to be necessary or appropriate " 18 1 in the public interest or for the 19.
35. lappuse
... appears to give the SEC a residual , concurrent enforcement jurisdiction with respect to banks acting in this capacity . That subsection seems to grant the SEC power to enforce compliance " by any person with the requirements imposed ...
... appears to give the SEC a residual , concurrent enforcement jurisdiction with respect to banks acting in this capacity . That subsection seems to grant the SEC power to enforce compliance " by any person with the requirements imposed ...
37. lappuse
... appears to authorize the adoption of reasonable rules setting standards relating to the financial condition and character of a prospective participant in any clearing agency ( depository ) . Since the matter of integrity is so important ...
... appears to authorize the adoption of reasonable rules setting standards relating to the financial condition and character of a prospective participant in any clearing agency ( depository ) . Since the matter of integrity is so important ...
41. lappuse
... appear to give the SEC a measure of authority over the bank regulatory agencies . If this provision were enacted , the Commission could impose requirements upon the bank regulatory agencies which would be unduly burdensome and counter ...
... appear to give the SEC a measure of authority over the bank regulatory agencies . If this provision were enacted , the Commission could impose requirements upon the bank regulatory agencies which would be unduly burdensome and counter ...
44. lappuse
... appear desirable . Thus , the same agency might perform both clearing agency and depository functions ; indeed , this seems a logical development . In addition , it would be possible for a transfer agent to also perform the function of ...
... appear desirable . Thus , the same agency might perform both clearing agency and depository functions ; indeed , this seems a logical development . In addition , it would be possible for a transfer agent to also perform the function of ...
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allocation amended American Bankers Association American Stock Exchange appropriate regulatory agency authority bank regulatory agencies bill block trades book-entry broker-dealers brokers Chairman clearing agency Clearing House clearing members clearing system Commission Committee Comprehensive Securities Depositories costs CUSIP delivery deposit depository participation depository system Depository Trust Depository Trust Company digits dividend elimination Exchange Act facilities Federal Reserve System functions funds valued today funds valued tomorrow implementation inter-regional trades interface investors legislation master files Merrill Lynch Midwest MSTC NASD National Clearing Corporation National Coordinating Group NCC system NCC's numbering systems NYSE omnibus account over-the-counter participants PCC and NCC position problems procedures proposed regional depositories registered regulation rules Securities Exchange securities industry securities processing securities transactions Senator WILLIAMS settle settlement of securities shareholders shares standards statement stock certificate stock transfer Subcommittee submitted tion Trust Company Vice President York Stock Exchange