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]. |
Contents
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Common terms and phrases
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
Popular passages
Page 1830 - 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.
Page 1818 - 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.
Page 1830 - 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.
Page 1788 - SEVENTH: The private property of the stockholders shall not be subject to the payment of corporate debts to any extent whatever.
Page 1942 - 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...
Page 1647 - Commission, the New York Stock Exchange, and the National Association of Securities Dealers.
Page 1830 - 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...
Page 1815 - 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.
Page 1556 - If we can be of further assistance, please do not hesitate to call on us. Sincerely yours, ROBERT F.
Page 1418 - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to...