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 89.
14. lappuse
... issue an order granting or denying the application within one hundred and eighty days of the filing of the appli- cation unless the Commission finds good cause to extend such period and publishes its reasons therefor . " ( e ) A ...
... issue an order granting or denying the application within one hundred and eighty days of the filing of the appli- cation unless the Commission finds good cause to extend such period and publishes its reasons therefor . " ( e ) A ...
25. lappuse
... issues of securities for which 17 it is then acting as transfer agent , and such other information 18 in such detail as the appropriate regulatory agency may 19 require as necessary or appropriate with regard to per- 20 formance ...
... issues of securities for which 17 it is then acting as transfer agent , and such other information 18 in such detail as the appropriate regulatory agency may 19 require as necessary or appropriate with regard to per- 20 formance ...
26. lappuse
... issues 4 of securities for which it is then acting as a transfer agent 5 and such other information as the Commission may , by rule , 6 require . Each appropriate regulatory agency shall also file 7 with the Commission such additional ...
... issues 4 of securities for which it is then acting as a transfer agent 5 and such other information as the Commission may , by rule , 6 require . Each appropriate regulatory agency shall also file 7 with the Commission such additional ...
31. lappuse
... issue , either originally or upon transfer , any such securities 21 in a form or with a format which contravenes such rules and 22 regulations as the Commission may prescribe as necessary or 23 appropriate for the prompt and accurate ...
... issue , either originally or upon transfer , any such securities 21 in a form or with a format which contravenes such rules and 22 regulations as the Commission may prescribe as necessary or 23 appropriate for the prompt and accurate ...
38. lappuse
... issue under that Act to prevent prejudicing the interests of any person affected , and not merely depositors : 1 " ( i ) Compliance with the requirements imposed by this section and section 17A of this Act may be enforced under section ...
... issue under that Act to prevent prejudicing the interests of any person affected , and not merely depositors : 1 " ( i ) Compliance with the requirements imposed by this section and section 17A of this Act may be enforced under section ...
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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