...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...

...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...

...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...

...self-regulation and will hear from a panel composed of representatives of the Securities and Exchange Commission, the New York Stock Exchange, and the National Association of Securities Dealers. I am very pleased to recognize our first witness, the dean of the House of Representatives, and the...

...regulation and will hear from a panel composed of representatives of the Securities and Exchange Commission, the New York Stock Exchange, and the National Association of Securities Dealers. I am very pleased to recognize our first witness, the dean of the House of Representatives, and the...

...the Currency ("OCC") and the Board of Governors of the Federal Reserve System ("Board"), as well as the New York Stock Exchange and the National Association of Securities Dealers. Inc.. coordinated with, or assisted, the Commission in obtaining information and evaluating the practices...