Annual Report of the SEC.U.S. Government Printing Office |
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Página 6
United States. Securities and Exchange Commission. The Commission also requested the Exchange to present on or before June 30 , 1971 , a new rate structure based on a percentage scale of the money involved in an order , a proposed ...
United States. Securities and Exchange Commission. The Commission also requested the Exchange to present on or before June 30 , 1971 , a new rate structure based on a percentage scale of the money involved in an order , a proposed ...
Página 14
United States. Securities and Exchange Commission. Commission's opinion required legislative action . In proposing mutual fund legislation in 1967 , the Commission recognized that most of the specific abuses aimed at in the Invest- ment ...
United States. Securities and Exchange Commission. Commission's opinion required legislative action . In proposing mutual fund legislation in 1967 , the Commission recognized that most of the specific abuses aimed at in the Invest- ment ...
Página 60
... Commission's broad rulemaking power regard- ing the preparation and presentation of financial information , it has ... Commission . The Commission has also formulated rules with respect to accounting for and auditing of brokers and ...
... Commission's broad rulemaking power regard- ing the preparation and presentation of financial information , it has ... Commission . The Commission has also formulated rules with respect to accounting for and auditing of brokers and ...
Página 61
... Commission's staff and outside accountants regarding appropriate accounting and auditing policies , pro- cedures and practices for the protection of investors , the staff maintains continuing contact with individual accountants , other ...
... Commission's staff and outside accountants regarding appropriate accounting and auditing policies , pro- cedures and practices for the protection of investors , the staff maintains continuing contact with individual accountants , other ...
Página 66
... Commission issued for public comment a proposal to revise Articles 1 , 2 , 3 , 4 , 5 , 9 and 11 and Rules 12-01 to ... Commission's Disclosure Study Group had also recommended certain revisions , particularly with respect to the ...
... Commission issued for public comment a proposal to revise Articles 1 , 2 , 3 , 4 , 5 , 9 and 11 and Rules 12-01 to ... Commission's Disclosure Study Group had also recommended certain revisions , particularly with respect to 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