Article 148. Securities registration and settlement organizations are to execute the following functions.

第一百四十八条证券登记结算机构履行下列职能。

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Securities registration and settlement organizations shall not mortgage their clients' securities or lend them to others.

证券登记结算机构不得将客户的证券用于质押或者出借给他人。

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The names of securities registration and settlement organizations shall include "securities registration and settlement."

证券登记结算机构的名称中应当标明证券登记结算字样。

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The Securities and Exchange Commission (SEC) has proposed numerous changes to this end, covering securities registration, money-market funds and capital standards for brokers.

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There turn out to be at least six different facets to this approach: the establishment of an internal compliance program, bona fide market making, reasonably expected near-term demands of clients, registration under securities or commodities laws, revenue from fees and commission, etc.

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These securities are being offered pursuant to an effective shelf registration statement previously filed with the Securities and Exchange Commission, and a preliminary prospectus supplement and accompanying prospectus describing the terms of the offering have been filed with the Securities and Exchange Commission.

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