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 74.
44. lappuse
... balance under the traditional balance order system . Under the more recent net - by - net system , balances may be carried forward and netted against future settling trades . Depositories hold large amounts of securities and effect ...
... balance under the traditional balance order system . Under the more recent net - by - net system , balances may be carried forward and netted against future settling trades . Depositories hold large amounts of securities and effect ...
56. lappuse
... trades , whether listed or over - the - counter , are cleared through a single organization all cash settlement is netted to one daily balance with a single entity for all trades . - all settlements will ultimately be effected by book - 56.
... trades , whether listed or over - the - counter , are cleared through a single organization all cash settlement is netted to one daily balance with a single entity for all trades . - all settlements will ultimately be effected by book - 56.
61. lappuse
... balances efficiently . - Preferably with one check ( given or received ) . For both listed and OTC trades . For trades with other brokers , banks and financial institutions . 98-978 O - 73-5 PCSE NCC WHAT IS THE ONE AGENCY APPROACH ? CCS ...
... balances efficiently . - Preferably with one check ( given or received ) . For both listed and OTC trades . For trades with other brokers , banks and financial institutions . 98-978 O - 73-5 PCSE NCC WHAT IS THE ONE AGENCY APPROACH ? CCS ...
65. lappuse
... balances would be settled : For listed broker - broker · broker institution } with PCC . For OTC ( broker - broker ) with NCC , nationwide For institutional transactions , direct or with PCC . Again , firms must have separate procedures ...
... balances would be settled : For listed broker - broker · broker institution } with PCC . For OTC ( broker - broker ) with NCC , nationwide For institutional transactions , direct or with PCC . Again , firms must have separate procedures ...
70. lappuse
... balances for ALL trades ( listed and OTC ; broker and institution ) settled with one entity , PCC . ONE Check System - Set of procedures CONSIDERABLE PROGRESS TO DATE National Coordinating Group for Depositories - 70.
... balances for ALL trades ( listed and OTC ; broker and institution ) settled with one entity , PCC . ONE Check System - Set of procedures CONSIDERABLE PROGRESS TO DATE National Coordinating Group for Depositories - 70.
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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