Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 64.
1322. lappuse
... amended to permit ownership of it by participants other than an exchange . Stock Clearing Corporation , of which CCS is ... amendments to state laws to end that fiduciary securities held by banks may be deposited in a CSDS . 4. The plan ...
... amended to permit ownership of it by participants other than an exchange . Stock Clearing Corporation , of which CCS is ... amendments to state laws to end that fiduciary securities held by banks may be deposited in a CSDS . 4. The plan ...
1326. lappuse
... amended the Investment Company Act of 1940 to permit deposit of securities in a depository by investment company custodians . Addi- tional large amounts of securities , presently held in the vaults of banks , insurance companies , and ...
... amended the Investment Company Act of 1940 to permit deposit of securities in a depository by investment company custodians . Addi- tional large amounts of securities , presently held in the vaults of banks , insurance companies , and ...
1331. lappuse
... amendments in the laws governing the transfer of shares of its corporations . The implementing legislation , as ... amendment of any controlling law or regulation - state or federal - which cur- rently would prohibit the fiduciary from ...
... amendments in the laws governing the transfer of shares of its corporations . The implementing legislation , as ... amendment of any controlling law or regulation - state or federal - which cur- rently would prohibit the fiduciary from ...
1332. lappuse
... amendments to that provision of the Investment Company Act of 1940 . Another legislative change which must be effected , and is currently being addressed , is the need to amend the New York State Stock Transfer Tax law so that stock ...
... amendments to that provision of the Investment Company Act of 1940 . Another legislative change which must be effected , and is currently being addressed , is the need to amend the New York State Stock Transfer Tax law so that stock ...
1357. lappuse
... amendment to state law as has occurred in New York , or by Federal law pre - empting the field , banks will be able to participate more extensively in depositories . Regulatory Problems The development of our depository has been ...
... amendment to state law as has occurred in New York , or by Federal law pre - empting the field , banks will be able to participate more extensively in depositories . Regulatory Problems The development of our depository has been ...
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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.