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 99.
2. lappuse
... processing is healthy , and this legislation does not decree its premature demise . However , the loser in the industry's current round of infighting is not only the investor who must put up with the confusion and delay inherent in the ...
... processing is healthy , and this legislation does not decree its premature demise . However , the loser in the industry's current round of infighting is not only the investor who must put up with the confusion and delay inherent in the ...
10. lappuse
... processing and settlement of securities transactions are eligible to become 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 ...
... processing and settlement of securities transactions are eligible to become 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 ...
11. lappuse
... processing and set- tlement of securities transactions , to provide safeguards for securities and funds which are in its custody , to foster cooperation and coordination with national securi- ties exchanges , national securities ...
... processing and set- tlement of securities transactions , to provide safeguards for securities and funds which are in its custody , to foster cooperation and coordination with national securi- ties exchanges , national securities ...
15. lappuse
... processing or 5 settlement of any transaction in a security ( other than an 6 exempted security ) , or engage in any other activity as clear- 7 ing agency in contravention of such rules and regulations 8 as the Commission shall ...
... processing or 5 settlement of any transaction in a security ( other than an 6 exempted security ) , or engage in any other activity as clear- 7 ing agency in contravention of such rules and regulations 8 as the Commission shall ...
43. lappuse
... processing area daily and is very expert in this subject . I appreciate having him here with me , and I am sure as we get into the questioning period , he will be able to provide answers which will be beneficial to your consideration ...
... processing area daily and is very expert in this subject . I appreciate having him here with me , and I am sure as we get into the questioning period , he will be able to provide answers which will be beneficial to your consideration ...
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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