securities exchange
2.A securities firm shall transmit the information about any delivery and redelivery of underlying securities and collateral securities to the securities exchange or the over-the-counter securities market, with a copy to the centralized securities depository enterprise for delivery of the securities by book-entry transfer, or a notice to the clearing bank for account transfer registration.
3.COMMENT ON THE IMPLICIT LIABILITIES OF THE SECURITIES EXCHANGE ACT OF U.S.A —— Mainly referring to section10b and rule10b5
4.Most of the necessary elements are contained in the proposals coming from the New York Stock Exchange，the Securities＆Exchange Commission，Congress，and various business groups.
5.Have not been subject to any measures taken by a securities exchange, an over-the-counter securities market, or a futures exchange during the most recent year under its rules and regulations involving suspension of or restriction on trading activities.
6.Article 21 A securities firm shall on a daily basis transmit information about the transaction amount, transaction details, and outstanding balance with respect to securities lending transactions for each customer, to the securities exchange or the over-the-counter securities market, and the latter shall compile such information and publish the outstanding amount of all securities lending transactions before the opening of market on the next business day.
7.Article 146 Assignment of bearer share certificates takes effect upon delivery thereof by the shareholder to the assignee at a lawfully established securities exchange.
8.Securities and Exchange Commission (SEC) Administers statutes providing for the protection of investors against fraud and malpractice in the securities markets.
9.The Securities and Exchange Commission was urged yesterday to rid the securities industry of "bad apples by requiring brokers to disclose their disciplinary record to potential customers."
10.The evidence of money laundering in certain [Shearson] New York offices came to light Tuesday in a filing by the Securities and Exchange Commission.
