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.
2. lappuse
... responsibility to bring order out of the existing jurisdictional chaos . Someone must have the authority to knock heads together and move the whole industry toward a rational , nationwide clearing system . And that someone should have ...
... responsibility to bring order out of the existing jurisdictional chaos . Someone must have the authority to knock heads together and move the whole industry toward a rational , nationwide clearing system . And that someone should have ...
26. lappuse
... responsibilities 10 under this section . Except as otherwise provided in subsec- 11 tion ( d ) of this section , a registration of a transfer agent 12 filed under this subsection shall become effective thirty days 13 after the receipt ...
... responsibilities 10 under this section . Except as otherwise provided in subsec- 11 tion ( d ) of this section , a registration of a transfer agent 12 filed under this subsection shall become effective thirty days 13 after the receipt ...
28. lappuse
... responsibilities under this section . " ( g ) No transfer agent registered under this section 12 shall , directly or indirectly , engage in any activity as transfer 13 agent in contravention of such rules and regulations as the ...
... responsibilities under this section . " ( g ) No transfer agent registered under this section 12 shall , directly or indirectly , engage in any activity as transfer 13 agent in contravention of such rules and regulations as the ...
30. lappuse
... 23 imposed under this section is specifically committed to an- other appropriate regulatory agency , the Commission shall 25 have primary responsibility to enforce such requirements . 24 29 1 " ( k ) At least fifteen days 30.
... 23 imposed under this section is specifically committed to an- other appropriate regulatory agency , the Commission shall 25 have primary responsibility to enforce such requirements . 24 29 1 " ( k ) At least fifteen days 30.
34. lappuse
... responsibilities would be conferred upon the " appropriate regulatory agency " which , in the case of an insured bank acting as a clearing agency , would be the Comptroller of the Currency , the Federal Reserve or the FDIC . The SEC and ...
... responsibilities would be conferred upon the " appropriate regulatory agency " which , in the case of an insured bank acting as a clearing agency , would be the Comptroller of the Currency , the Federal Reserve or the FDIC . The SEC and ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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