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 |
No grāmatas satura
1.–5. rezultāts no 100.
59. lappuse
... brokers ( including wire houses with Western operations ) in the most convenient - most comprehensive -- - most efficient least expensive most up - to - date manner . WHAT ARE THE CLEARING AND SETTLEMENT NEEDS OF THE BROKERS 59.
... brokers ( including wire houses with Western operations ) in the most convenient - most comprehensive -- - most efficient least expensive most up - to - date manner . WHAT ARE THE CLEARING AND SETTLEMENT NEEDS OF THE BROKERS 59.
63. lappuse
... brokers . In the CLEARING area , using the NCC approach , the broker would clear : • OTC ( broker - broker ) clearance with NCC . • Listed ( broker - broker clearance with PCC . broker - institution OTC ( broker institution ) clearance ...
... brokers . In the CLEARING area , using the NCC approach , the broker would clear : • OTC ( broker - broker ) clearance with NCC . • Listed ( broker - broker clearance with PCC . broker - institution OTC ( broker institution ) clearance ...
65. lappuse
... 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 for : • OTC and listed transactions ...
... 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 for : • OTC and listed transactions ...
72. lappuse
... brokers . Can insulate local brokers from national changes . Provides good response to local brokers by virtue of local control and responsibility . " ONE AGENCY " APPROACH The " one agency " approach is based on a uniform over - the ...
... brokers . Can insulate local brokers from national changes . Provides good response to local brokers by virtue of local control and responsibility . " ONE AGENCY " APPROACH The " one agency " approach is based on a uniform over - the ...
73. lappuse
... brokers . * Avoids duplication of clearing facilities . Provides dedicated facilities for OTC clearing . * Provides for direct institutional participation in the clearing process , reducing the workload on brokers and expediting the ...
... brokers . * Avoids duplication of clearing facilities . Provides dedicated facilities for OTC clearing . * Provides for direct institutional participation in the clearing process , reducing the workload on brokers and expediting the ...
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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