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 100.
1. lappuse
... 1970. But 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 ...
... 1970. But 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 ...
2. lappuse
... legislation before us today is a direct result of that scrutiny . Turning briefly to the bill's second objective , a leading financial reporter has written : A labyrinthine and arcane , but intense and often chaotic battle has quietly ...
... legislation before us today is a direct result of that scrutiny . Turning briefly to the bill's second objective , a leading financial reporter has written : A labyrinthine and arcane , but intense and often chaotic battle has quietly ...
23. lappuse
... to the Congress ( 1 ) the steps it has 23 taken and progress it has made toward elimination of the 24 stock certificate as a means of settlement , and ( 2 ) its recom- 22 1 mendations , if any , for further legislation 23.
... to the Congress ( 1 ) the steps it has 23 taken and progress it has made toward elimination of the 24 stock certificate as a means of settlement , and ( 2 ) its recom- 22 1 mendations , if any , for further legislation 23.
24. lappuse
... legislation to eliminate the 2 stock certificate . " . 3 SEC . 6. The Securities Exchange Act of 1934 is further 4 amended by inserting after section 17A ( added by section 5 5 of this Act ) the following new section : 6 ウ 12 ...
... legislation to eliminate the 2 stock certificate . " . 3 SEC . 6. The Securities Exchange Act of 1934 is further 4 amended by inserting after section 17A ( added by section 5 5 of this Act ) the following new section : 6 ウ 12 ...
36. lappuse
... legislation passed by the Senate last year . Under the arrangement in S. 2058 , the Securities and Exchange Commission is authorized to prescribe rules relating to clearing agencies ( defined to include depositories ) and transfer ...
... legislation passed by the Senate last year . Under the arrangement in S. 2058 , the Securities and Exchange Commission is authorized to prescribe rules relating to clearing agencies ( defined to include depositories ) and transfer ...
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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