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 100.
2. lappuse
... securities transactions ] . This bill is intended to bring an end to that battle . I believe competition in the area of securities processing is healthy , and this legislation does not decree its premature demise . However , the loser ...
... securities transactions ] . This bill is intended to bring an end to that battle . I believe competition in the area of securities processing is healthy , and this legislation does not decree its premature demise . However , the loser ...
4. lappuse
... securities 2 transactions , " . 3 4 5 6 7 8 9 10 11 12 13 14 16 17 SEC . 2. Section 15A ( k ) ( 2 ) of the Securities Exchange Act of 1934 ( 15 U.S.C. 780-3 ( k ) ( 2 ) ) is amended by inserting after clause ( D ) the following : " ( E ) ...
... securities 2 transactions , " . 3 4 5 6 7 8 9 10 11 12 13 14 16 17 SEC . 2. Section 15A ( k ) ( 2 ) of the Securities Exchange Act of 1934 ( 15 U.S.C. 780-3 ( k ) ( 2 ) ) is amended by inserting after clause ( D ) the following : " ( E ) ...
8. lappuse
... SECURITIES TRANSACTIONS " SEC . 17A . ( a ) ( 1 ) Except as otherwise provided in 10 this subsection , it shall be unlawful for any person , directly 11 or indirectly , to make use of the mails or any means or in- 12 strumentality of ...
... SECURITIES TRANSACTIONS " SEC . 17A . ( a ) ( 1 ) Except as otherwise provided in 10 this subsection , it shall be unlawful for any person , directly 11 or indirectly , to make use of the mails or any means or in- 12 strumentality of ...
9. lappuse
... securities transactions , to safeguard funds and securities held for the accounts of participants , to comply with the provisions of this title and the rules and regu- 21 lations thereunder , and to carry out the purposes of this 22 22 ...
... securities transactions , to safeguard funds and securities held for the accounts of participants , to comply with the provisions of this title and the rules and regu- 21 lations thereunder , and to carry out the purposes of this 22 22 ...
10. lappuse
... securities transactions , and upon the deposit with the clearing agency of an amount or the posting of a bond with the clearing agency in an amount which bears a reasonable relationship to the value of positions maintained by and ...
... securities transactions , and upon the deposit with the clearing agency of an amount or the posting of a bond with the clearing agency in an amount which bears a reasonable relationship to the value of positions maintained by and ...
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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