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.
9. lappuse
... participants , to comply with the provisions of this title and the rules and regu- 21 lations thereunder , and to carry out the purposes of this 22 22 23 24 section ; 66 ( 2 ) the rules of the clearing agency provide that all ( A ) ...
... participants , to comply with the provisions of this title and the rules and regu- 21 lations thereunder , and to carry out the purposes of this 22 22 23 24 section ; 66 ( 2 ) the rules of the clearing agency provide that all ( A ) ...
10. lappuse
... participants in such clearing agency , subject only to such other rules of the clearing agency as are expressly permitted under this paragraph . The rules of the clearing agency may condition participation upon compliance with standards ...
... participants in such clearing agency , subject only to such other rules of the clearing agency as are expressly permitted under this paragraph . The rules of the clearing agency may condition participation upon compliance with standards ...
11. lappuse
... participants ; 66 “ ( 5 ) the rules of the clearing agency do not impose any schedule of prices , or fix rates or charges , for services rendered by its participants ; " ( 6 ) the rules of the clearing agency are designed to promote the ...
... participants ; 66 “ ( 5 ) the rules of the clearing agency do not impose any schedule of prices , or fix rates or charges , for services rendered by its participants ; " ( 6 ) the rules of the clearing agency are designed to promote the ...
12. lappuse
... participants and the denial of participation to any person seeking participation therein . In any pro- ceeding to determine whether a participant should be disciplined , such rules shall require that specific charges of any rule ...
... participants and the denial of participation to any person seeking participation therein . In any pro- ceeding to determine whether a participant should be disciplined , such rules shall require that specific charges of any rule ...
13. lappuse
... participants , or for the protection of investors or to facilitate the orderly and continuous performance of the clearing agency's services . The rules of the clearing agency shall afford the participant an expedited hearing on the ...
... participants , or for the protection of investors or to facilitate the orderly and continuous performance of the clearing agency's services . The rules of the clearing agency shall afford the participant an expedited hearing on the ...
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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