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.
10. lappuse
... standards of operational capacity which the Commission has , by rule , found to be necessary to assure the prompt and accurate processing of securities transactions , and upon the deposit with the clearing agency of an amount or the ...
... standards of operational capacity which the Commission has , by rule , found to be necessary to assure the prompt and accurate processing of securities transactions , and upon the deposit with the clearing agency of an amount or the ...
15. lappuse
... standards for the performance of functions , measures 12 and personnel standards for safe handling and custody of 13 securities and funds , operational compatibility of and coop- 14 eration by the clearing agency with other persons ...
... standards for the performance of functions , measures 12 and personnel standards for safe handling and custody of 13 securities and funds , operational compatibility of and coop- 14 eration by the clearing agency with other persons ...
25. lappuse
... standards and procedures for safe 21 handling and custody of securities , and operational com- 22 patibility of the transfer agent's activities with those of other 23 persons involved in the securities handling process . Each 24 ...
... standards and procedures for safe 21 handling and custody of securities , and operational com- 22 patibility of the transfer agent's activities with those of other 23 persons involved in the securities handling process . Each 24 ...
37. lappuse
... standards relating to the financial condition and character of a prospective participant in any clearing agency ( depository ) . Since the matter of integrity is so important in the carrying on of the clearing agency ( depository ) ...
... standards relating to the financial condition and character of a prospective participant in any clearing agency ( depository ) . Since the matter of integrity is so important in the carrying on of the clearing agency ( depository ) ...
40. lappuse
... standards and regulations extending to clearing agencies and transfer agents . We also endorse the procedure for accom- plishing this purpose in S. 2058 insofar as the bank regulatory agencies are utilized to participate in the ...
... standards and regulations extending to clearing agencies and transfer agents . We also endorse the procedure for accom- plishing this purpose in S. 2058 insofar as the bank regulatory agencies are utilized to participate in the ...
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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