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.
15. lappuse
... proposed changes 20 in , additions to , or amendments to the rules of the clearing 21 agency accompanied by a summary statement of the basis 22 and purpose for such proposed change , addition , or amend- 23 ment . No such proposed ...
... proposed changes 20 in , additions to , or amendments to the rules of the clearing 21 agency accompanied by a summary statement of the basis 22 and purpose for such proposed change , addition , or amend- 23 ment . No such proposed ...
16. lappuse
... proposal together 4 with the clearing agency's statement of basis and purpose , 5 and shall afford interested persons a reasonable opportunity 6 for comment on the proposed change , addition , or amend- 7 ment . Within thirty days of ...
... proposal together 4 with the clearing agency's statement of basis and purpose , 5 and shall afford interested persons a reasonable opportunity 6 for comment on the proposed change , addition , or amend- 7 ment . Within thirty days of ...
22. lappuse
... comment or adoption of any proposed rule or regula- 24 tion regarding clearing agencies , whether pursuant to this 25 title or otherwise , the agency contemplating issuance or 21 1 adoption of any such rule or regulation shall 22.
... comment or adoption of any proposed rule or regula- 24 tion regarding clearing agencies , whether pursuant to this 25 title or otherwise , the agency contemplating issuance or 21 1 adoption of any such rule or regulation shall 22.
34. lappuse
... proposed rule for public comment or adopting any such rule . We agree with the general thrust of these provisions regarding the regulation of clearing agencies , but would recommend that the last sentence of the proposed section 17A ( o ) ...
... proposed rule for public comment or adopting any such rule . We agree with the general thrust of these provisions regarding the regulation of clearing agencies , but would recommend that the last sentence of the proposed section 17A ( o ) ...
35. lappuse
... proposed legislation to the SEC . To this end we recommend that the proposed section 17B ( j ) be amended to give the Federal bank regulatory agencies enforcement authority similar to that granted therein to the SEC . That subsection ...
... proposed legislation to the SEC . To this end we recommend that the proposed section 17B ( j ) be amended to give the Federal bank regulatory agencies enforcement authority similar to that granted therein to the SEC . That subsection ...
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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