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.
10. lappuse
... appropriate to the development of an integrated national system for the prompt and accurate processing and settlement of securities transactions are eligible to become participants in such clearing agency , subject only to such other ...
... appropriate to the development of an integrated national system for the prompt and accurate processing and settlement of securities transactions are eligible to become participants in such clearing agency , subject only to such other ...
14. lappuse
... appropriate administrative action to determine whether the application should be denied . After notice of the grounds for denial under considera- tion and opportunity for hearing , the Commission shall by order grant such registration ...
... appropriate administrative action to determine whether the application should be denied . After notice of the grounds for denial under considera- tion and opportunity for hearing , the Commission shall by order grant such registration ...
16. lappuse
... appropriate administrative action to determine whether the proposed change , addition or amendment in whole or in part , should be disapproved . Within one hundred and twenty days of the filing of the change , addition or amendment the ...
... appropriate administrative action to determine whether the proposed change , addition or amendment in whole or in part , should be disapproved . Within one hundred and twenty days of the filing of the change , addition or amendment the ...
17. lappuse
... appropriate regulatory 21 220 agency , on its own motion , or upon application by any person aggrieved thereby filed within thirty days after such 23 action has been taken or within such longer period as the 24 appropriate regulatory ...
... appropriate regulatory 21 220 agency , on its own motion , or upon application by any person aggrieved thereby filed within thirty days after such 23 action has been taken or within such longer period as the 24 appropriate regulatory ...
18. lappuse
... appropriate regulatory agency finds that such participant has engaged in such acts or prac- tices , or has omitted ... appropriate , modify the sanctions or penalties in accordance with paragraph ( 2 ) of this subsection , or " ( B ) if ...
... appropriate regulatory agency finds that such participant has engaged in such acts or prac- tices , or has omitted ... appropriate , modify the sanctions or penalties in accordance with paragraph ( 2 ) of this subsection , or " ( B ) if ...
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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