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.
4. lappuse
... clearing agency ' means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who 15 provides facilities ( A ) for comparison of data respecting the terms of ...
... clearing agency ' means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who 15 provides facilities ( A ) for comparison of data respecting the terms of ...
5. lappuse
... clearing agency means any person who uses a clearing 12 agency or securities depository for the purpose of settling 13 or comparing transactions in securities or making or receiv- 14 ing payment for or delivering , lending , or ...
... clearing agency means any person who uses a clearing 12 agency or securities depository for the purpose of settling 13 or comparing transactions in securities or making or receiv- 14 ing payment for or delivering , lending , or ...
6. lappuse
... agency ' , when 5 used with respect to a clearing agency or transfer agent 6 required to be registered under this title , means : 7 8 9 10 11 12 13 14 15 16 17 18 19 20 225 21 " ( A ) the Comptroller of the Currency , in the case of a ...
... agency ' , when 5 used with respect to a clearing agency or transfer agent 6 required to be registered under this title , means : 7 8 9 10 11 12 13 14 15 16 17 18 19 20 225 21 " ( A ) the Comptroller of the Currency , in the case of a ...
8. lappuse
... clearing agency , or any class or 19 classes of persons , securities , transactions , or clearing agen- 20 cies from any provision or provisions of this section or of 21 any rule or regulation prescribed under this section if the 22 ...
... clearing agency , or any class or 19 classes of persons , securities , transactions , or clearing agen- 20 cies from any provision or provisions of this section or of 21 any rule or regulation prescribed under this section if the 22 ...
9. lappuse
... clearing 15 agency unless the Commission finds that 16 17 18 19 20 " ( 1 ) such clearing agency is organized and oper- ated so as to facilitate the prompt and accurate settle- ment of securities transactions , to safeguard funds and ...
... clearing 15 agency unless the Commission finds that 16 17 18 19 20 " ( 1 ) such clearing agency is organized and oper- ated so as to facilitate the prompt and accurate settle- ment of securities transactions , to safeguard funds and ...
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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