Annual Report of the SEC.U.S. Government Printing Office |
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Página 6
... commission rate for certain broker - dealers who are not Exchange members . In accordance with the Commission's announcement on August 31 , 1970 , a temporary commission rate surcharge was continued until such time as circumstances war ...
... commission rate for certain broker - dealers who are not Exchange members . In accordance with the Commission's announcement on August 31 , 1970 , a temporary commission rate surcharge was continued until such time as circumstances war ...
Página 60
... Commission . Pursuant to the Commission's broad rulemaking power regard- ing the preparation and presentation of financial information , it has adopted a basic accounting regulation ( Regulation S - X ) which , together with opinions on ...
... Commission . Pursuant to the Commission's broad rulemaking power regard- ing the preparation and presentation of financial information , it has adopted a basic accounting regulation ( Regulation S - X ) which , together with opinions on ...
Página 61
... Commission's accounting staff also meets with the Committee on Corporate Reporting of the Financial Executives Institute to discuss possible improvements of accounting standards and practices . As part of the Commission's effort to ...
... Commission's accounting staff also meets with the Committee on Corporate Reporting of the Financial Executives Institute to discuss possible improvements of accounting standards and practices . As part of the Commission's effort to ...
Página 66
... Commission in September 1971.57 In August 1971 the Commission issued for public comment a proposal to revise Articles 1 , 2 ... Commission's Disclosure Study Group had also recommended certain revisions , particularly with respect to the ...
... Commission in September 1971.57 In August 1971 the Commission issued for public comment a proposal to revise Articles 1 , 2 ... Commission's Disclosure Study Group had also recommended certain revisions , particularly with respect to the ...
Página 74
United States. Securities and Exchange Commission. The Honolulu Stock Exchange and the Richmond Stock Ex- change were exempt from registration during the fiscal year . REVIEW OF EXCHANGE RULES AND PROCEDURES A major aspect of the ...
United States. Securities and Exchange Commission. The Honolulu Stock Exchange and the Richmond Stock Ex- change were exempt from registration during the fiscal year . REVIEW OF EXCHANGE RULES AND PROCEDURES A major aspect of the ...
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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