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 81.
7. lappuse
... effect any transaction in , or to induce or attempt to induce 13 the purchase or sale of , any security ( other than an exempted 14 security or commercial paper , bankers ' acceptances , or com- 15 mercial bills ) in contravention of ...
... effect any transaction in , or to induce or attempt to induce 13 the purchase or sale of , any security ( other than an exempted 14 security or commercial paper , bankers ' acceptances , or com- 15 mercial bills ) in contravention of ...
11. lappuse
... effect of unfairly discriminating in the admission of participants or among participants in the use of such clearing agency ; " ( 7 ) the rules of the clearing agency provide that its participants shall be appropriately disciplined for ...
... effect of unfairly discriminating in the admission of participants or among participants in the use of such clearing agency ; " ( 7 ) the rules of the clearing agency provide that its participants shall be appropriately disciplined for ...
17. lappuse
... effect as though 10 it had been declared effective by the Commission ... 11 “ ( h ) Each clearing agency shall at the time of filing 12 a registration statement pursuant to subsection ( b ) , a notice 13 of withdrawal of its ...
... effect as though 10 it had been declared effective by the Commission ... 11 “ ( h ) Each clearing agency shall at the time of filing 12 a registration statement pursuant to subsection ( b ) , a notice 13 of withdrawal of its ...
44. lappuse
... effect delivery between participants solely by book entry and without the necessity for actual receipt and delivery of certificates by the participants . Transfer agents transfer certificates from the name of the seller into the name of ...
... effect delivery between participants solely by book entry and without the necessity for actual receipt and delivery of certificates by the participants . Transfer agents transfer certificates from the name of the seller into the name of ...
73. lappuse
... effect . * * Permits economies of scale . Provides uniform rules and fees for all brokers . * Avoids duplication of clearing facilities . Provides dedicated facilities for OTC clearing . * Provides for direct institutional participation ...
... effect . * * Permits economies of scale . Provides uniform rules and fees for all brokers . * Avoids duplication of clearing facilities . Provides dedicated facilities for OTC clearing . * Provides for direct institutional participation ...
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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