Annual Report of the SEC.U.S. Government Printing Office |
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... June 30 , 1971 , in accordance with the provisions of Section 23 ( b ) of the Securities Exchange Act of 1934 , as amended ; Section 23 of the Public Utility Holding Company Act of 1935 ; Section 46 ( a ) of the Investment Company Act ...
... June 30 , 1971 , in accordance with the provisions of Section 23 ( b ) of the Securities Exchange Act of 1934 , as amended ; Section 23 of the Public Utility Holding Company Act of 1935 ; Section 46 ( a ) of the Investment Company Act ...
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... June 5 , 1970 and 1975. Since June 1964 , he has served on the executive committee of the National Association of Regula- tory Utility Commissioners . James J. Needham Commissioner Needham was born in Woodhaven , New York , on August 18 ...
... June 5 , 1970 and 1975. Since June 1964 , he has served on the executive committee of the National Association of Regula- tory Utility Commissioners . James J. Needham Commissioner Needham was born in Woodhaven , New York , on August 18 ...
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... June 5 , 1971 , and was reappointed for the term expiring June 5 , 1976 . Philip A. Loomis , Jr. Commissioner Loomis was born in Colorado Springs , Colorado , on June 11 , 1915. He received an A.B. degree , with highest honors , from ...
... June 5 , 1971 , and was reappointed for the term expiring June 5 , 1976 . Philip A. Loomis , Jr. Commissioner Loomis was born in Colorado Springs , Colorado , on June 11 , 1915. He received an A.B. degree , with highest honors , from ...
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... Association in 1971. He took office as a member of the Securities and Exchange Com- mission on August 13 , 1971 , for the term of office expiring June 5 , 1972 . TABLE OF CONTENTS Page V Commissioners and principal staff officers X.
... Association in 1971. He took office as a member of the Securities and Exchange Com- mission on August 13 , 1971 , for the term of office expiring June 5 , 1972 . TABLE OF CONTENTS Page V Commissioners and principal staff officers X.
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... June 30 , 1971 , classified by type of organization and by loca- tion of principal office Table 4. Number of security issues and issuers on exchanges Part 1. Unduplicated count as of June 30 , 1971 of the number of stock and bond issues ...
... June 30 , 1971 , classified by type of organization and by loca- tion of principal office Table 4. Number of security issues and issuers on exchanges Part 1. Unduplicated count as of June 30 , 1971 of the number of stock and bond issues ...
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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