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 79.
2. lappuse
... [ involved in securities transactions ] . This bill is intended to bring an end to that battle . I believe competition in the area of securities processing is healthy , and this legislation does not decree its premature demise . However ...
... [ involved in securities transactions ] . This bill is intended to bring an end to that battle . I believe competition in the area of securities processing is healthy , and this legislation does not decree its premature demise . However ...
15. lappuse
... involved 15 in the securities handling process , and the prompt and ac- 16 curate processing and settlement of securities transactions . 17 " ( g ) ( 1 ) Each registered clearing agency shall file 18 with the Commission , in accordance ...
... involved 15 in the securities handling process , and the prompt and ac- 16 curate processing and settlement of securities transactions . 17 " ( g ) ( 1 ) Each registered clearing agency shall file 18 with the Commission , in accordance ...
21. lappuse
... involved , and the books , records , and assets 7 thereof , wherever located ; and the court shall appoint the 8 appropriate regulatory agency or a person designated by 9 the appropriate regulatory agency as the trustee with the 10 ...
... involved , and the books , records , and assets 7 thereof , wherever located ; and the court shall appoint the 8 appropriate regulatory agency or a person designated by 9 the appropriate regulatory agency as the trustee with the 10 ...
25. lappuse
... involved in the securities handling process . Each 24 appropriate regulatory agency , other than the Commission , 25 shall file with the Commission notice of the name of any 24 1 transfer agent required to register with such agency 25.
... involved in the securities handling process . Each 24 appropriate regulatory agency , other than the Commission , 25 shall file with the Commission notice of the name of any 24 1 transfer agent required to register with such agency 25.
28. lappuse
... involved in the securities handling process . 20 21 222 23 " ( h ) The appropriate regulatory agencies shall consult and cooperate with each other and , as may be appropriate , with State banking authorities having supervision over ...
... involved in the securities handling process . 20 21 222 23 " ( h ) The appropriate regulatory agencies shall consult and cooperate with each other and , as may be appropriate , with State banking authorities having supervision over ...
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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