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.
45. lappuse
... position to oversee the whole process . The Commission presently has authority over the execution of securities transactions , overclear- ing and oversettlement . We believe it logical that this authority be extended to transfer ...
... position to oversee the whole process . The Commission presently has authority over the execution of securities transactions , overclear- ing and oversettlement . We believe it logical that this authority be extended to transfer ...
49. lappuse
... position expressed by the Commission year when we had the bill that was very much similar ? last Mr. EVANS . Mr. Chairman , I believe it is substantially the same . I think that the Commission realizes that there were impediments to ...
... position expressed by the Commission year when we had the bill that was very much similar ? last Mr. EVANS . Mr. Chairman , I believe it is substantially the same . I think that the Commission realizes that there were impediments to ...
53. lappuse
... position . Mr. PICKARD . Let me just supplement what Mr. Evans has said . We would hope to establish the guidelines , as we have done in the past in our study of unsafe and unsound practices of broker - dealers . We estab- lished ...
... position . Mr. PICKARD . Let me just supplement what Mr. Evans has said . We would hope to establish the guidelines , as we have done in the past in our study of unsafe and unsound practices of broker - dealers . We estab- lished ...
54. lappuse
... position to answer that question . I think that the way it has to be answered is working with those two groups . And in my opinion the Commission does not have the direct authority to take care of that right now . Mr. PICKARD . Let me ...
... position to answer that question . I think that the way it has to be answered is working with those two groups . And in my opinion the Commission does not have the direct authority to take care of that right now . Mr. PICKARD . Let me ...
74. lappuse
... position per security for a member , with standard fund payments and with regional facilities for the handling of securities . The Pacific Coast Stock Exchange has been informed by SIA that the Joint Approach is entirely consistent with ...
... position per security for a member , with standard fund payments and with regional facilities for the handling of securities . The Pacific Coast Stock Exchange has been informed by SIA that the Joint Approach is entirely consistent with ...
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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