Securities Investor Protection: Hearings, Ninety-first Congress, Second Session ...U.S. Government Printing Office, 1970 - 404 lappuses |
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amount appointed assessments bank Bankruptcy Act bill Board of Directors borrowing broker or dealer broker or insured brokerage firms brokers and dealers bylaws capital cash Chairman Budge claims committee CONGRESS THE LIBRARY court customer accounts debtor DENUNZIO determine ECKHARDT examining authority Exchange Commission fees filed FOCHT gross revenues HAMER H HARVEY insured broker insured dealer investment investor protection June 16 KEITH legislation liability LIBRARY OF CONGRESS line of credit liquidation MACLAURY Member Firm ment million Moss mutual funds NASD national securities exchange NYSE obligations payment percent POLLACK proposal public interest purposes pursuant to paragraph pursuant to subsection question RABEN registered REINISCH respect risks rule or regulation Secretary section 15 Securities and Exchange securities business self-regulatory organization sell short selling SIPC specialists specifically statement STUCKEY subcommittee subordinated loan task force thereof tion transactions Treasury trustee Wall Street York Stock Exchange
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206. lappuse - Act, as amended, are extended to include any purchase of such notes and obligations. The Secretary of the Treasury may at any time sell any of the notes or other obligations acquired by him under this subsection. All redemptions, purchases, and sales by the Secretary of the Treasury of such notes or other obligations shall be treated as public debt transactions of the United States.
30. lappuse - Corporation pertaining to its financial transactions and necessary to facilitate the audit, and they shall be afforded full facilities for verifying transactions with the balances or securities held by depositaries, fiscal agents, and custodians.
328. lappuse - ... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody and use of customers' securities and the carrying and use of customers
177. lappuse - The Secretary of the Treasury is authorized and directed to purchase any notes and other obligations issued hereunder and for that purpose he is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act. as amended, and the purposes for which securities may be issued under that Act.
205. lappuse - Such notes or other obligations shall bear interest at a rate determined by the Secretary of the Treasury, taking into consideration the current average market yield on outstanding marketable obligations of the United States of comparable maturities during the months preceding the issuance of the notes or other obligations.
361. lappuse - The accounts of the Corporation shall be audited annually in accordance with generally accepted auditing standards by independent certified public accountants or independent licensed public accountants certified or licensed by a regulatory authority of a State or other political subdivision of the United States.
31. lappuse - The report shall set forth the scope of the audit and shall include a statement (showing intercorporate relations) of assets and liabilities, capital and surplus or deficit ; a statement of surplus or deficit...
327. lappuse - ... court of the county in which the principal office of the corporation is located for an order requiring the corporation to show cause why it should not...
206. lappuse - State; (5) to lease, purchase, or otherwise acquire, own, hold, improve, use or otherwise deal hi and with any property, real, personal or mixed, or any interest therein, wherever situated; (6) to accept gifts or donations of services, or of property, real, personal or mixed, tangible or intangible, in aid of any of the purposes...
32. lappuse - Every insured bank shall display at each place of business maintained by it a sign or signs, and shall include...