Study of the Securities Industry: Serial No. 92-37bU.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 99.
1315. lappuse
... customers of broker - dealers ' financial condition , as well as the adequacy of audit procedures . Now we shall turn to another important problem , namely , the per- vasive effect of the stock certificate as a primary factor in back ...
... customers of broker - dealers ' financial condition , as well as the adequacy of audit procedures . Now we shall turn to another important problem , namely , the per- vasive effect of the stock certificate as a primary factor in back ...
1327. lappuse
... customers , and the clearance , settlement , and delivery operations . Essentially , the locked - in trade concept ... customer at his request . The eventual goal of this and other current projects is to link the trading floor with the ...
... customers , and the clearance , settlement , and delivery operations . Essentially , the locked - in trade concept ... customer at his request . The eventual goal of this and other current projects is to link the trading floor with the ...
1330. lappuse
... customers would have to get the certificates , make certain that it was signed , checked , stamped , counted , then put in an envelope and make physical delivery through the Stock Clearing Corporation . Similarly , the buying brokerage ...
... customers would have to get the certificates , make certain that it was signed , checked , stamped , counted , then put in an envelope and make physical delivery through the Stock Clearing Corporation . Similarly , the buying brokerage ...
1342. lappuse
... customers , and the clearance , settlement and de- livery operations . Essentially , the locked - in trade concept ... customer at his request ) -to complete the transaction . The key element here is automation of the trading floor ...
... customers , and the clearance , settlement and de- livery operations . Essentially , the locked - in trade concept ... customer at his request ) -to complete the transaction . The key element here is automation of the trading floor ...
1345. lappuse
... customers should not bear the burden of a State tax that will be imposed only as a result of the interfacing of non - New York systems with CCS , with CSDS , or a New York - based clearinghouse , or with a national system located in ...
... customers should not bear the burden of a State tax that will be imposed only as a result of the interfacing of non - New York systems with CCS , with CSDS , or a New York - based clearinghouse , or with a national system located in ...
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.