Annual Report of the SEC.U.S. Government Printing Office |
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... Association . He took office as a member of the Securities and Exchange Commission on March 23 , 1964 , for the term expiring June 5 , 1965 , and was reappointed for the terms expiring June 5 , 1970 and 1975. Since June 1964 , he has ...
... Association . He took office as a member of the Securities and Exchange Commission on March 23 , 1964 , for the term expiring June 5 , 1965 , and was reappointed for the terms expiring June 5 , 1970 and 1975. Since June 1964 , he has ...
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... Association of Southeastern Rail- roads . He is a past president of the Florida County Judges As- sociation , the University of Florida Alumni Association and the Florida State Baseball League . Mr. Herlong received the Good Government ...
... Association of Southeastern Rail- roads . He is a past president of the Florida County Judges As- sociation , the University of Florida Alumni Association and the Florida State Baseball League . Mr. Herlong received the Good Government ...
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... Association . He received the Career Service Award of the Na- tional Civil Service League in 1964 , the Securities and Exchange Commission Distinguished Service Award in 1966 , and the Justice Tom C. Clark Award of the Federal Bar ...
... Association . He received the Career Service Award of the Na- tional Civil Service League in 1964 , the Securities and Exchange Commission Distinguished Service Award in 1966 , and the Justice Tom C. Clark Award of the Federal Bar ...
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... Association of Securities Dealers , Inc. Review of NASD rules and policies NASD rule abrogation proceeding Inspections of the NASD 88888 86 87 89 90 Over - the - counter trading in common stocks listed on the New 90 York Stock Exchange ...
... Association of Securities Dealers , Inc. Review of NASD rules and policies NASD rule abrogation proceeding Inspections of the NASD 88888 86 87 89 90 Over - the - counter trading in common stocks listed on the New 90 York Stock Exchange ...
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... Association of Securities Dealers , Inc. , after reviewing the recom- mendations of a specially formed subcommittee on self - underwrit- ings , abandoned its position that members could not participate in distributions of their own ...
... Association of Securities Dealers , Inc. , after reviewing the recom- mendations of a specially formed subcommittee on self - underwrit- ings , abandoned its position that members could not participate in distributions of their own ...
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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