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.
9. lappuse
... statement in such form as the Commission may pre- 11 scribe containing the 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 ...
... statement in such form as the Commission may pre- 11 scribe containing the 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 ...
13. lappuse
... statement setting forth the specific grounds on which the denial is based . Notwithstand- ing any other provision of this section , the rules of the clearing agency may provide for the temporary suspension of a participant , the ...
... statement setting forth the specific grounds on which the denial is based . Notwithstand- ing any other provision of this section , the rules of the clearing agency may provide for the temporary suspension of a participant , the ...
14. lappuse
... If the Commission finds that any registrant or 23 person for whom an application of registration is pending is no longer in existence or has ceased to do business in the 24 13 1 capacity specified in the registration statement , the 14.
... If the Commission finds that any registrant or 23 person for whom an application of registration is pending is no longer in existence or has ceased to do business in the 24 13 1 capacity specified in the registration statement , the 14.
15. lappuse
... statement , the Commis- 2 sion shall by order cancel or deny the registration . 3 " ( f ) No clearing agency registered under this section 4 shall , directly or indirectly , participate in the processing or 5 settlement of any ...
... statement , the Commis- 2 sion shall by order cancel or deny the registration . 3 " ( f ) No clearing agency registered under this section 4 shall , directly or indirectly , participate in the processing or 5 settlement of any ...
16. lappuse
... statement of basis and purpose , 5 and shall afford interested persons a reasonable opportunity 6 for comment on the proposed change , addition , or amend- 7 ment . Within thirty days of such filing the Commission 8 shall- 9 10 11 12 13 ...
... statement of basis and purpose , 5 and shall afford interested persons a reasonable opportunity 6 for comment on the proposed change , addition , or amend- 7 ment . Within thirty days of such filing the Commission 8 shall- 9 10 11 12 13 ...
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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