Study of the Securities Industry: Hearings Before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-second Congress, First [and Second] Session[s].U.S. Government Printing Office, 1971 - 4623 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
1313. lappuse
... authority of SEC to compel NASD to adopt uniform rules for clearance and settlement procedures by all NASD members for both O - T - C and listed stocks , with attachment_ Material relating to the incorporation of the New York Stock ...
... authority of SEC to compel NASD to adopt uniform rules for clearance and settlement procedures by all NASD members for both O - T - C and listed stocks , with attachment_ Material relating to the incorporation of the New York Stock ...
1349. lappuse
... authority . It is the stated intention of BASIC to open CSDS ownership to all participants , regardless of location , but this will occur only after the depository system has been developed and , we fear , after the flow of securities ...
... authority . It is the stated intention of BASIC to open CSDS ownership to all participants , regardless of location , but this will occur only after the depository system has been developed and , we fear , after the flow of securities ...
1372. lappuse
... authority covering brokers , banks and customers such agreement must be considered of significant value in gaining momentum toward change . Third , the recent study completed by the Rand Cor- poration indicates that a full depository ...
... authority covering brokers , banks and customers such agreement must be considered of significant value in gaining momentum toward change . Third , the recent study completed by the Rand Cor- poration indicates that a full depository ...
1377. lappuse
... authority , motiva- tion , and ability to solve rapidly and permanently what has been described in the past several years as the " operational crisis . " Without your assistance , which will make possible certain fundamental advances in ...
... authority , motiva- tion , and ability to solve rapidly and permanently what has been described in the past several years as the " operational crisis . " Without your assistance , which will make possible certain fundamental advances in ...
1389. lappuse
... authority granted under this section the Commission has prescribed Rules 17a - 3 and 4 which re- quire broker - dealers to make , keep current , and preserve a number of specific types of records relating to the trans- acting of their ...
... authority granted under this section the Commission has prescribed Rules 17a - 3 and 4 which re- quire broker - dealers to make , keep current , and preserve a number of specific types of records relating to the trans- acting of their ...
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Bieži izmantoti vārdi un frāzes
accounts agency amendments American Bankers Association American Stock Exchange AMEX Association automated banks BASIC Bevis Board of Governors broker-dealers brokerage firms brokers card certificate certificateless Chairman clearance Clearing Center Clearing Corporation Clearing Member Committee Company Congress cost CSDS customers Dealers delivery depository system dividend documents effect elimination Exchange Commission Exchange's Executive Federal funds handling implementation investors issues legislation machine readable machine-readable certificate MCCOLLISTER member firms ment Merrill Lynch MICR Moss NASD NASDAQ National Clearing NYSE operations organization over-the-counter PAINTER participation present problems procedures processing proposed punched card question readable certificate recommended record regional registrant regulation regulatory rules Section Securities and Exchange securities industry securities transactions self-regulation self-regulatory settlement SIPC SPORKIN statement stock certificate Stock Clearing subcommittee Task Force tion trading transfer agents Vice President York Stock Exchange
Populāri fragmenti
1830. lappuse - And in case of disobedience to a subpoena the Commission, or any party to a proceeding before the Commission, may invoke the aid of any court of the United States in requiring the attendance and testimony of witnesses and the production of books, papers, and documents under the provisions of this section.
1818. 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 within prescribed limits and the determination of facts to which the policy as declared by the legislature is to apply.
1830. lappuse - Upon the application of the Attorney General of the United States, at the request of the commission, the district courts of the United States shall have jurisdiction to issue writs of mandamus commanding any person or corporation to comply with the provisions of this Act or any order of the commission made in pursuance thereof.
1788. lappuse - SEVENTH: The private property of the stockholders shall not be subject to the payment of corporate debts to any extent whatever.
1942. lappuse - Section 3(a)(2) of the act, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the act whether acting in its individual or fiduciary capacity; any broker or dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934; any...
1647. lappuse - Commission, the New York Stock Exchange, and the National Association of Securities Dealers.
1830. lappuse - In case of disobedience to a subpoena, the bureau may invoke the aid of any district court of the United States in requiring the attendance and testimony of witnesses and the production of documentary evidence, and such court, within the jurisdiction of which...
1815. 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.
1556. lappuse - If we can be of further assistance, please do not hesitate to call on us. Sincerely yours, ROBERT F.
1418. lappuse - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to...