Annual Report of the SEC.U.S. Government Printing Office |
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Página 45
... Commis- sion's Division of Corporation Finance . During the 1970 and 1969 fiscal years , 749 and 613 offering sheets , respectively , were filed . The following table indicates the nature and number of Com- mission orders issued in ...
... Commis- sion's Division of Corporation Finance . During the 1970 and 1969 fiscal years , 749 and 613 offering sheets , respectively , were filed . The following table indicates the nature and number of Com- mission orders issued in ...
Página 57
... Commis- sion at times participates as amicus curiae in actions to recover such profits when it deems it important to present its views re- garding the interpretation of the statutory provisions or of the exemptive rules adopted by the ...
... Commis- sion at times participates as amicus curiae in actions to recover such profits when it deems it important to present its views re- garding the interpretation of the statutory provisions or of the exemptive rules adopted by the ...
Página 75
... Commis- sion seeking declaratory and injunctive relief against what they characterized as a Commission " direction or order " to the Ex- change which resulted in the elimination of customer - directed give - ups , a practice of ...
... Commis- sion seeking declaratory and injunctive relief against what they characterized as a Commission " direction or order " to the Ex- change which resulted in the elimination of customer - directed give - ups , a practice of ...
Página 120
... Commis- sion's motion for preliminary relief , it held that these transactions violated Section 5 of the Securities Act since the unregistered spin - offs were " sales " within the meaning of the Act . The court found that the effect of ...
... Commis- sion's motion for preliminary relief , it held that these transactions violated Section 5 of the Securities Act since the unregistered spin - offs were " sales " within the meaning of the Act . The court found that the effect of ...
Página 130
... Commis- sion its final disposition of disciplinary complaints against 291 member firms and 206 individuals associated with member firms . With respect to 24 members and 22 associated persons , complaints were dismissed where the NASD ...
... Commis- sion its final disposition of disciplinary complaints against 291 member firms and 206 individuals associated with member firms . With respect to 24 members and 22 associated persons , complaints were dismissed where the NASD ...
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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