Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 98.
1322. lappuse
... federal or state authority . This would include broker - dealers , banks , mutual funds , insurance companies , and clearing cor- porations of NASD and exchanges if such direct depositor status fits best their clearing systems . 6 ...
... federal or state authority . This would include broker - dealers , banks , mutual funds , insurance companies , and clearing cor- porations of NASD and exchanges if such direct depositor status fits best their clearing systems . 6 ...
1326. lappuse
... Federal law dealing with clearance , settlement , and transfer of securities transac- tions . All of these matters are receiving vigorous top - priority atten- tion from the self - regulatory bodies . There doesn't seem to be reason to ...
... Federal law dealing with clearance , settlement , and transfer of securities transac- tions . All of these matters are receiving vigorous top - priority atten- tion from the self - regulatory bodies . There doesn't seem to be reason to ...
1331. lappuse
... federal statute , and in part by regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the Currency . State law governing the obligations of fiduciaries , for example , often ...
... federal statute , and in part by regulations issued by state and federal agencies such as state superintendents of banks or the Comptroller of the Currency . State law governing the obligations of fiduciaries , for example , often ...
1332. lappuse
... federal law pre - empting the field is neces- sary . At the same time , we would certainly be receptive to constructive sug- gestions from the Subcommittee with respect to any legislative efforts either at the federal or state level ...
... federal law pre - empting the field is neces- sary . At the same time , we would certainly be receptive to constructive sug- gestions from the Subcommittee with respect to any legislative efforts either at the federal or state level ...
1345. lappuse
... Federal Government involvement . We recommend legislation by the Congress to exempt the applica- tion of State or municipal transfer taxes to transactions taking place outside that State or municipality . Our recommendation arises from ...
... Federal Government involvement . We recommend legislation by the Congress to exempt the applica- tion of State or municipal transfer taxes to transactions taking place outside that State or municipality . Our recommendation arises from ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
accounts action agency amendments American Bankers Association American Stock Exchange antitrust Association authority automated banks BASIC Bevis Board of Governors broker-dealers brokerage firms brokers Budget Bureau CASEY certificateless Chairman clearance clearing system Commission's Committee cost CUSIP customers Dealers delivery depository system effect elimination Exchange Commission Exchange's Executive Federal Federal Trade Commission filed Haack handling hearings HOWLAND implementation incorporation interest investors issues letter machine-readable certificate MCCOLLISTER member firms membership ment Merrill Lynch million Moss mutual fund NASD NASDAQ NYSE offer of settlement operations organization over-the-counter PAINTER participation present President problems procedures punch card question record registrant regulation regulatory request responsibility rules SCI-TEK Section Securities and Exchange Securities Exchange Act securities industry securities markets securities transactions self-regulation self-regulatory SIPC SPORKIN statement stock certificate Subcommittee submitted tion trading transfer agent violations York Stock Exchange
Populāri fragmenti
1678. lappuse - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest, and to remove impediments to and perfect the mechanism of a free and open market...
1639. lappuse - Commission, the New York Stock Exchange, and the National Association of Securities Dealers.
1809. lappuse - To conduct research in the development of improved plans of administrative management, and to advise the executive departments and agencies of the Government with respect to improved administrative organization and practice.
1548. lappuse - If we can be of further assistance, please do not hesitate to call on us. Sincerely yours, ROBERT F.
1811. lappuse - The officers of the Department of Justice, under the direction of the Attorney General...
1678. lappuse - The rules of the association are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade...
1481. lappuse - Exchange ; any other security of the same issuer which is of senior or substantially equal rank; any security called for by subscription rights or warrants so listed or approved ; or any warrant or right to purchase or subscribe to...
1811. lappuse - Congress the necessary resources of flexibility and practicality, which will enable it to perform its function in laying down policies and establishing standards, while leaving to selected instrumentalities the making of subordinate rules...
1811. lappuse - ... on behalf of the United States, procure the proper evidence for, and conduct, prosecute, or defend all suits and proceedings in the Supreme Court and in the Court of Claims, in which the United States, or any officer...
1811. lappuse - The Congress is not permitted to abdicate or to transfer to others the essential legislative functions with which it is thus vested.