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 68.
1. lappuse
... we in the Congress were not satisfied with merely insuring the public against brokerage house failures . We began to exercise a closer and more continuing ( 1 ) scrutiny of the securities industry . The legislation before us 3223T.
... we in the Congress were not satisfied with merely insuring the public against brokerage house failures . We began to exercise a closer and more continuing ( 1 ) scrutiny of the securities industry . The legislation before us 3223T.
21. lappuse
... continue to operate or to 11 terminate the facilities of such clearing agency in an orderly 12 manner , for the protection of participants and public inves- 13 tors , subject to such terms and conditions as the court 14 may prescribe ...
... continue to operate or to 11 terminate the facilities of such clearing agency in an orderly 12 manner , for the protection of participants and public inves- 13 tors , subject to such terms and conditions as the court 14 may prescribe ...
41. lappuse
... continue to believe that it is highly desirable that national banks be permitted to own an interest in depositories or clearing agencies which they utilize . Accordingly , we suggest the following statutory language as part of S. 2058 ...
... continue to believe that it is highly desirable that national banks be permitted to own an interest in depositories or clearing agencies which they utilize . Accordingly , we suggest the following statutory language as part of S. 2058 ...
43. lappuse
... continue to play the major role in such developments with guidance from the Commission only to the extent necessary to assure an integrated , ef- ficient system providing access on a reasonable , nondiscriminatory basis . Subject to the ...
... continue to play the major role in such developments with guidance from the Commission only to the extent necessary to assure an integrated , ef- ficient system providing access on a reasonable , nondiscriminatory basis . Subject to the ...
46. lappuse
... continue to subscribe to the view that our regulatory authority should include a right to periodic examina- tion of ... continuing understanding of the actual working of these agencies in aid of informed rulemaking . Our examinations ...
... continue to subscribe to the view that our regulatory authority should include a right to periodic examina- tion of ... continuing understanding of the actual working of these agencies in aid of informed rulemaking . Our examinations ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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