Annual Report of the SEC.U.S. Government Printing Office |
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... NASD automated over - the - counter quotations system ( NASDAQ ) Institutional investor study Reform of the Investment Company Act Sales charges Investment advisory fees The front - end load on contractual plans Fund holding companies ...
... NASD automated over - the - counter quotations system ( NASDAQ ) Institutional investor study Reform of the Investment Company Act Sales charges Investment advisory fees The front - end load on contractual plans Fund holding companies ...
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... 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 Regulation of broker - dealers and investment ...
... 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 Regulation of broker - dealers and investment ...
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... NASD disciplinary action Commission review of NASD action on membership Cooperation with other enforcement agencies Enforcement problems with respect to foreign securities Disqualification from practice before Commission 128 129 129 129 ...
... NASD disciplinary action Commission review of NASD action on membership Cooperation with other enforcement agencies Enforcement problems with respect to foreign securities Disqualification from practice before Commission 128 129 129 129 ...
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... NASD cleared the way for Merrill Lynch , Pierce , Fenner & Smith to register with the Commission and distribute primarily to its customers a $ 112,000,000 offering of its securities . Subsequently , several other NYSE members filed ...
... NASD cleared the way for Merrill Lynch , Pierce , Fenner & Smith to register with the Commission and distribute primarily to its customers a $ 112,000,000 offering of its securities . Subsequently , several other NYSE members filed ...
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... NASD AUTOMATED OVER - THE - COUNTER QUOTATIONS SYSTEM ( NASDAQ ) On February 8 , 1971 , the National Association of Securities Dealers , Inc. ( NASD ) formally commenced public operations of the NASDAQ automated quotations system with ...
... NASD AUTOMATED OVER - THE - COUNTER QUOTATIONS SYSTEM ( NASDAQ ) On February 8 , 1971 , the National Association of Securities Dealers , Inc. ( NASD ) formally commenced public operations of the NASDAQ automated quotations system with ...
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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