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 91.
7. lappuse
... tion , participation , rules of procedures , financial condition , 5 methods of safekeeping , settling , hypothecating , lending and 6 accounting for funds and securities , and similar matters . " . 7 SEC . 4. Section 15 ( c ) of the ...
... tion , participation , rules of procedures , financial condition , 5 methods of safekeeping , settling , hypothecating , lending and 6 accounting for funds and securities , and similar matters . " . 7 SEC . 4. Section 15 ( c ) of the ...
9. lappuse
... tion concerning the number of requests for exemptions from 6 this section received , the number granted , and the basis or 7 bases upon which any exemptions were granted . 8 " ( b ) Any clearing agency may be registered for the 9 ...
... tion concerning the number of requests for exemptions from 6 this section received , the number granted , and the basis or 7 bases upon which any exemptions were granted . 8 " ( b ) Any clearing agency may be registered for the 9 ...
14. lappuse
... tion and opportunity for hearing , the Commission shall by order grant such registration unless it finds that a re- quirement of this section is not satisfied , in which case the Commission shall by order deny such registration . The ...
... tion and opportunity for hearing , the Commission shall by order grant such registration unless it finds that a re- quirement of this section is not satisfied , in which case the Commission shall by order deny such registration . The ...
22. lappuse
... or adoption of any proposed rule or regula- 24 tion regarding clearing agencies , whether pursuant to this 25 title or otherwise , the agency contemplating issuance or 21 1 adoption of any such rule or regulation shall 22.
... or adoption of any proposed rule or regula- 24 tion regarding clearing agencies , whether pursuant to this 25 title or otherwise , the agency contemplating issuance or 21 1 adoption of any such rule or regulation shall 22.
24. lappuse
... tion of such provision or provisions to such transfer agent or 20 class of transfer agents or such security or class of securities 21 is not practical or not necessary or appropriate in the pub- , 22 lic interest or for the prompt and ...
... tion of such provision or provisions to such transfer agent or 20 class of transfer agents or such security or class of securities 21 is not practical or not necessary or appropriate in the pub- , 22 lic interest or for the prompt 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