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 100.
2. lappuse
... major brokerage houses over just who is going to control the machines that are being set up to take care of the paper [ involved in securities transactions ] . This bill is intended to bring an end to that battle . I believe competition ...
... major brokerage houses over just who is going to control the machines that are being set up to take care of the paper [ involved in securities transactions ] . This bill is intended to bring an end to that battle . I believe competition ...
43. lappuse
... 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 changes we recommend ...
... 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 changes we recommend ...
44. lappuse
... major exchanges and the NASD has a separate clearing agency for trans- actions between their members . In addition , each corporate issues either acts as its own transfer agent or retains a separate organization which may or may not be ...
... major exchanges and the NASD has a separate clearing agency for trans- actions between their members . In addition , each corporate issues either acts as its own transfer agent or retains a separate organization which may or may not be ...
47. lappuse
... major one because the subsidiary is not organized as a bank , the Commission recommends that it be the appropriate regulatory agency for all such nonbank subsidi- aries which are either depositories , clearing agencies , or transfer ...
... major one because the subsidiary is not organized as a bank , the Commission recommends that it be the appropriate regulatory agency for all such nonbank subsidi- aries which are either depositories , clearing agencies , or transfer ...
51. lappuse
... major problems . Obviously , there are individual firms that would have difficulties . There are always marginal firms . There are marginal firms in today's market even as low as it is . But I think market activity could increase a ...
... major problems . Obviously , there are individual firms that would have difficulties . There are always marginal firms . There are marginal firms in today's market even as low as it is . But I think market activity could increase a ...
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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