Clearence and Settlement of Securities Transactions, Hearings Before the Subcommittee of Securities of ..., 92-1 on S.3412,S.3297, and S.2551, May 9, 10 and 11, 1972110:1:United States: Congress, Volumes 22-231972 - 1040 pages |
Contents
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Common terms and phrases
agents and registrars American Bankers Association American Stock Exchange Amex appropriate bank regulatory agencies bank transfer agents banking agencies banking authorities believe bill book-entry bookkeeping entry broker-dealers brokerage firms brokers Central Certificate Service Chairman clearance and settlement clearing agency Clearing Members Committee compatibility COOKENBACH cost CUSIP dealers delivery deposit depository system elimination establish Exchange Commission Federal bank regulatory Federal Reserve Federal Reserve System funds HOWLAND institutions investors involved issuer issues legislation loans member banks NASD National Bank national securities NYSE operations Pacific Coast Stock participants performance problem procedures proposed registration regulatory authority require Section Securities and Exchange securities depository Securities Exchange securities industry securities processing securities transactions Senator ROTH Senator WILLIAMS settlement of securities standards statement stock certificate Stock Clearing Corporation stolen securities Subcommittee tion transfer function Trust Company Uniform Commercial Code Wuensche York Clearing House York Stock Exchange
Popular passages
Page 387 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Page 72 - There are additional examples in two reports by the Permanent Subcommittee on Investigations of the Senate Committee on Government Operations.
Page 878 - I am taking the liberty of sending a copy of this letter to the other members of your committee.
Page 52 - Federal savings and loan associations, and it may insure the accounts of building and loan, savings and loan, and homestead associations and cooperative banks organized and operated according to the laws of the State, District, or Territory in which they are chartered or organized.
Page 486 - He was also a member of the Board of Governors of the National Association of Securities Dealers...
Page 157 - SROS' rules and regulations and review of examination and disciplinary programs. SROS, such as the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE...
Page 449 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers...
Page 988 - It shall be unlawful for any broker, dealer, or exchange, directly or indirectly, to make use of the mails or any means or instrumentality of interstate commerce for the purpose of using any facility of an exchange within or subject to the jurisdiction of the United States...
Page 451 - Such accounts, correspondence, memoranda, papers, books, and other records shall be subject at any time or from time to time to such reasonable periodic, special, or other examinations by examiners or other representatives of the Commission as the Commission may deem necessary or appropriate in the public interest or for the protection of investors.
Page 52 - Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...