Annual Report of the SEC.U.S. Government Printing Office |
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... Act of 1970.1 This legislation , the most important in the securities field in 30 years , established the Securities Investor Protection Corpo- ration to provide insurance for ... Act Release No. 9388 . 2 SECURITIES AND EXCHANGE COMMISSION.
... Act of 1970.1 This legislation , the most important in the securities field in 30 years , established the Securities Investor Protection Corpo- ration to provide insurance for ... Act Release No. 9388 . 2 SECURITIES AND EXCHANGE COMMISSION.
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... Act went into effect . It requires the giving of immediate notice by a broker - dealer who is in violation of a net ... Release No. 9268 ( July 30 , 1971 ) . securities were in " street name " were at considerable 4 Securities Exchange Act ...
... Act went into effect . It requires the giving of immediate notice by a broker - dealer who is in violation of a net ... Release No. 9268 ( July 30 , 1971 ) . securities were in " street name " were at considerable 4 Securities Exchange Act ...
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... Act , commonly known as the Commission's " net capital rule " , imposes minimum net capital requirements on brokers ... Act Release No. 9288 ( August 13 , 1971 ) . 4 SECURITIES AND EXCHANGE COMMISSION.
... Act , commonly known as the Commission's " net capital rule " , imposes minimum net capital requirements on brokers ... Act Release No. 9288 ( August 13 , 1971 ) . 4 SECURITIES AND EXCHANGE COMMISSION.
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... law suits . Mr. Casey said the Commission would determine what the public interest requires in the way of rules governing ... Act Release No. 9069 ( March 4 , 1971 ) . THIRTY - SEVENTH ANNUAL REPORT 5 Structure and level of commission rates.
... law suits . Mr. Casey said the Commission would determine what the public interest requires in the way of rules governing ... Act Release No. 9069 ( March 4 , 1971 ) . THIRTY - SEVENTH ANNUAL REPORT 5 Structure and level of commission rates.
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... Act Release No. 8969 ( August 31 , 1970 ) . 10 Securities Exchange Act Release No. 9351 . 11 See 36th Annual Report , p . 67. In commenting upon this rule change , the Commission reserved its comment on the " primary purpose ...
... Act Release No. 8969 ( August 31 , 1970 ) . 10 Securities Exchange Act Release No. 9351 . 11 See 36th Annual Report , p . 67. In commenting upon this rule change , the Commission reserved its comment on the " primary purpose ...
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36th Annual Report accounting action adopted alleged amended American Stock Exchange amicus curiae amount antifraud application assets Association Bank broker or dealer broker-dealers brokerage capital cash Commis Commission Commission's common stock Company Act Release Corporation Court of Appeals creditors customers debtor defendants directors disclosure distribution district court dollar effective enforcement Exchange Act Release exemption Federal securities laws filed fiscal Holding Company injunction instituted interest investment adviser Investment Company Act investors involved issued issuer June 30 listed million mission mutual fund NASD NASDAQ national securities exchange NYSE Office operations over-the-counter pany pending percent persons principal proceedings proposed proxy purchase registered investment registration statement Regulation reorganization rules Securities Act Release Securities Exchange Act security holders self-regulatory shareholders sion staff stockholders subsidiary suspended tion Total trading transactions trustee underwriter unit investment trusts violations York Stock Exchange