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 71.
9. lappuse
... received , the number granted , and the basis or 7 bases upon which any exemptions were granted . 8 " ( b ) Any clearing agency may be registered for the 9 purposes of this section by filing with the Commission a reg- 10 istration ...
... received , the number granted , and the basis or 7 bases upon which any exemptions were granted . 8 " ( b ) Any clearing agency may be registered for the 9 purposes of this section by filing with the Commission a reg- 10 istration ...
25. lappuse
... received , the number granted , and the basis 3 4 or bases upon which the exemptions were granted . " ( 3 ) The provisions of this section shall apply only to 5 securities and to persons performing the function of transfer 6 agent with ...
... received , the number granted , and the basis 3 4 or bases upon which the exemptions were granted . " ( 3 ) The provisions of this section shall apply only to 5 securities and to persons performing the function of transfer 6 agent with ...
61. lappuse
... efficiently . - Preferably with one check ( given or received ) . For both listed and OTC trades . For trades with other brokers , banks and financial institutions . 98-978 O - 73-5 PCSE NCC WHAT IS THE ONE AGENCY APPROACH ? CCS 61.
... efficiently . - Preferably with one check ( given or received ) . For both listed and OTC trades . For trades with other brokers , banks and financial institutions . 98-978 O - 73-5 PCSE NCC WHAT IS THE ONE AGENCY APPROACH ? CCS 61.
82. lappuse
... received assistance from the American Stock Exchange in converting the trade input procedures on the West Coast to be compatible with those used by NOTC . At the completion of this effort in late 1969 , a limited inter - regional ...
... received assistance from the American Stock Exchange in converting the trade input procedures on the West Coast to be compatible with those used by NOTC . At the completion of this effort in late 1969 , a limited inter - regional ...
82. lappuse
... received assistance from the American Stock Exchange in converting the trade input procedures on the West Coast to be compatible with those used by NOTC . At the completion of this effort in late 1969 , a limited inter - regional ...
... received assistance from the American Stock Exchange in converting the trade input procedures on the West Coast to be compatible with those used by NOTC . At the completion of this effort in late 1969 , a limited inter - regional ...
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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