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.
7. lappuse
... rules or instruments corresponding to the foregoing , 3 and its stated policies and practices relating to its organiza- 4 tion , participation , rules of procedures , financial condition , 5 methods of safekeeping , settling ...
... rules or instruments corresponding to the foregoing , 3 and its stated policies and practices relating to its organiza- 4 tion , participation , rules of procedures , financial condition , 5 methods of safekeeping , settling ...
8. lappuse
... rules or regulations for such 4 purpose . " 5 SEC . 5. The Securities Exchange Act of 1934 is amended 6 by inserting after section 17 ( 15 U.S.C. 78q ) the following new section : 7 8 9 " PROCESSING OF SECURITIES TRANSACTIONS " SEC ...
... rules or regulations for such 4 purpose . " 5 SEC . 5. The Securities Exchange Act of 1934 is amended 6 by inserting after section 17 ( 15 U.S.C. 78q ) the following new section : 7 8 9 " PROCESSING OF SECURITIES TRANSACTIONS " SEC ...
9. lappuse
... rules of the clearing agency and setting 12 forth such other information and accompanied by such other 13 documents as the Commission may , by rule , require . 14 " ( c ) An applicant shall not be registered as a clearing 15 agency ...
... rules of the clearing agency and setting 12 forth such other information and accompanied by such other 13 documents as the Commission may , by rule , require . 14 " ( c ) An applicant shall not be registered as a clearing 15 agency ...
10. lappuse
... rules of the clearing agency as are expressly permitted under this paragraph . The rules of the clearing agency may condition participation upon compliance with standards of operational capacity which the Commission has , by rule ...
... rules of the clearing agency as are expressly permitted under this paragraph . The rules of the clearing agency may condition participation upon compliance with standards of operational capacity which the Commission has , by rule ...
11. lappuse
... rules of the clearing agency provide for the equitable allocation of dues , fees , and other charges among its participants ; 66 “ ( 5 ) the rules of the clearing agency do not impose any schedule of prices , or fix rates or charges ...
... rules of the clearing agency provide for the equitable allocation of dues , fees , and other charges among its participants ; 66 “ ( 5 ) the rules of the clearing agency do not impose any schedule of prices , or fix rates or charges ...
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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