Federal Broker-Dealer Insurance Corporation, Hearings Before the Subcommittee on Securities of ..., 91-2 on S.2348, S.3988, and S.2989 ..., April 16 and 17, June 18, July 16, 19701970 - 320 pages |
Expressions et termes fréquents
$75 million amended American Stock Exchange amount appointed assessment assets authority bank Big Board bill Board of Directors borrowing broker or dealer broker or insured Broker-Dealer Insurance Corporation brokerage firms brokerage houses brokers and dealers BUDGE cash Chairman claims committee debtor DENUNZIO Exchange Commission exchange's FDIC Federal Broker-Dealer Insurance Government HAACK Hamer H insured broker insured customer account insured dealer investment legislation line of credit liquidation loan losses member firms member organizations Merrill Lynch mutual fund NASD national securities exchange NYSE obligations operations oversight payment percent problems proposal protection purpose pursuant question record REGAN responsibility risk rule or regulation Securities and Exchange securities business securities industry self-regulation self-regulatory organization Senator BENNETT Senator MUSKIE Senator WILLIAMS SIPC special trust fund specific statement stock broker stock clearing corporation subcommittee subsection task force tion transactions Treasury Wall Street York Stock Exchange
Fréquemment cités
Page 111 - Such notes or other obligations shall bear interest at a rate determined by the Secretary of the Treasury...
Page 292 - ... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody and use of customers' securities and the carrying and use of customers
Page 74 - ... such comments and information as may be deemed necessary to inform Congress of the financial operations and condition of the Corporation, together with such recommendations with respect thereto as the Comptroller General may deem advisable. The report shall also show specifically any program, expenditure, or other financial transaction or undertaking observed in the course of the audit, which, in the opinion of the Comptroller General, has been carried on or made without authority of law.
Page 304 - This statement is submitted on behalf of the American Life Convention and the Life Insurance Association of America, two trade associations with a combined membership of 360 life insurance companies which account for over 90 percent of the legal reserve life insurance in force in the United States.
Page 74 - The report shall set forth the scope of the audit and shall include a statement (showing intercorporate relations) of assets and liabilities, capital and surplus or deficit ; a statement of surplus or deficit...
Page 73 - Office shall have access to all books, accounts, records, reports, files, and all other papers, things, or property belonging to or in use by the Corporation pertaining to its financial transactions and necessary to facilitate the audit, and they shall be afforded full facilities for verifying transactions with the balances or securities held by depositaries, fiscal agents, and custodians.
Page 111 - The Secretary of the Treasury is authorized and directed to purchase any notes and other obligations to be issued hereunder and for such purpose he is authorized to use as a public debt transaction the proceeds from the sale of any securities issued, under the Second Liberty Bond Act, as amended, and the purposes for which securities may be issued under such Act, as amended, are extended to include any purchases of such notes and obligations.
Page 95 - Commission deems relevant or material to the inquiry. Such attendance of witnesses and the production of any such records may be required from any place in the United States or any State at any designated place of hearing.
Page 66 - Administrator with a copy of such documents (certified by such person under oath to be a true and correct copy), or has entered into a stipulation with the Administrator as to the information contained in such documents.
Page 34 - Commission may in writing request any registered securities association to adopt any specified alteration of or supplement to its rules with respect to any of the matters hereinafter enumerated. If such association fails to adopt such alteration or supplement within a reasonable time, the Commission is authorized by order to alter or supplement the rules of such association in the manner theretofore requested...