...that it facilitates the transfer of securities. In this connection attention is directed to rules of the New York Stock Exchange and the National Association of Securities Dealers, Inc., which provide that delivery of a certificate registered in the name of a corporation 1 Bankers...

...proposals were formulated in conferences, referred to in the first paragraph of this report, In which representatives of the Securities and Exchange Commission, the New York Stock Exchange, the New York Curb Exchange, the Investment Bankers Association of America, and the National Association...

...proposals were formulated in conferences, referred to in the first paragraph of this report, in which representatives of the Securities and Exchange Commission, the New York Stock Exchange, the New York Curb Exchange, the Investment Bankers Association of America, and the National Association...

...Federal Deposit Insurance Corporation, State banking departments, State small loan regulatory bodies, the Securities and Exchange Commission, the New York Stock Exchange, and the State insurance departments. The second statement made is, and I quote : Three principal restraints...

...There is submitted with this memorandum an appendix which contains the following : Section A : Rules of the Securities and Exchange Commission, the New York Stock Exchange and the Board of Governors of the Federal Reserve System as to short sales and sales in arbitrage transactions....

...briefly the actual functioning of the regulatory patterns in relation to the exchanges, particularly the New York Stock Exchange, and the National Association of Securities Dealers, in each case treating separately the process of rulemaking and the process of enforcement. As was previously...

...it may propose some rules U conld write under present law. Hut the Commission's main push will be on the New York Stock Exchange and the National Association of Securities Dealers. BIG BOARD-NASD STUDY MEEN "There definitely will be a study," probably as a joint exchange-NASD project,...

...conduct. During the course of the Subcommittee's hearings, testimony was received from representatives of the New York Stock Exchange and the National Association of Securities Dealers, Inc. Both of these agencies have major responsibilities for self -regulation of the securities industry...

...brokers, etc We conduct sixteen such examinations for government agencies and nationwide groups such as the New York Stock Exchange and the National Association of Securities Dealers, Inc. I feel there should also be a special management training program for entrepreneurs and possibly...

...conduct. During the course of the Subcommittee's hearings, testimony was received from representatives of the New York Stock Exchange and the National Association of Securities Dealers, Inc. Both of these agencies have major responsibilities for self-regulation of the securities industry...