Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 100
Página
... Financial reports of broker - dealers Broker - dealer income and expense reports 92 Regulation of broker - dealers who are not members of a registered securities association 93 95 Statistical studies Issues registered under the ...
... Financial reports of broker - dealers Broker - dealer income and expense reports 92 Regulation of broker - dealers who are not members of a registered securities association 93 95 Statistical studies Issues registered under the ...
Página
... annual report Form N - 1R 150 Valuation of securities 151 Position with respect to dilution of net asset value and inappropriate extensions of credit on sales , redemptions and repurchases of fund shares 152 Applications for Commission ...
... annual report Form N - 1R 150 Valuation of securities 151 Position with respect to dilution of net asset value and inappropriate extensions of credit on sales , redemptions and repurchases of fund shares 152 Applications for Commission ...
Página 3
... financial and op- erational problems at firms . On September 15 , 1971 , Rule 17a - 11 under the Securities Exchange Act went into effect . It requires the giving of immediate notice by a broker - dealer who is in ... ANNUAL REPORT 3.
... financial and op- erational problems at firms . On September 15 , 1971 , Rule 17a - 11 under the Securities Exchange Act went into effect . It requires the giving of immediate notice by a broker - dealer who is in ... ANNUAL REPORT 3.
Página 7
... annual independ- ently audited and certified financial statement . Finally , in addition to the above requirements , if the member participated in the distribution of its own securities or those of an affiliate , it would ... ANNUAL REPORT 7.
... annual independ- ently audited and certified financial statement . Finally , in addition to the above requirements , if the member participated in the distribution of its own securities or those of an affiliate , it would ... ANNUAL REPORT 7.
Página 10
... Report consists of 15 chap- ters organized into four major parts . Part One , in addition to introductory material ... Annual Report , pp . 9–12 ; 36th Annual Report , corporate stock from individuals over most of the post - pp . 8-9 ...
... Report consists of 15 chap- ters organized into four major parts . Part One , in addition to introductory material ... Annual Report , pp . 9–12 ; 36th Annual Report , corporate stock from individuals over most of the post - pp . 8-9 ...
Otras ediciones - Ver todas
Términos y frases comunes
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