Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 20
Página
... ( 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 Performance fee advisory contracts 115∞∞ 6 8 10 13 14 ...
... ( 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 Performance fee advisory contracts 115∞∞ 6 8 10 13 14 ...
Página 8
... ( NASDAQ ) On February 8 , 1971 , the National Association of Securities Dealers , Inc. ( NASD ) formally commenced public operations of the NASDAQ automated quotations system with approximately 2300 over - the - counter securities . The ...
... ( NASDAQ ) On February 8 , 1971 , the National Association of Securities Dealers , Inc. ( NASD ) formally commenced public operations of the NASDAQ automated quotations system with approximately 2300 over - the - counter securities . The ...
Página 9
... NASDAQ market makers . The NASD began developing a " stock watch " surveillance program for the new system and has been cooperating with the Commission's surveillance staff in looking into unusual market activity in NASDAQ securities ...
... NASDAQ market makers . The NASD began developing a " stock watch " surveillance program for the new system and has been cooperating with the Commission's surveillance staff in looking into unusual market activity in NASDAQ securities ...
Página 10
... NASDAQ central com- puter . The proposed trade reporting system , which will probably take about two years to put into effect , would make it possible for traders to verify each trade within seconds of its execution and to detect ...
... NASDAQ central com- puter . The proposed trade reporting system , which will probably take about two years to put into effect , would make it possible for traders to verify each trade within seconds of its execution and to detect ...
Página 87
... NASDAQ quotation system ; and ( 2 ) the system's eligibility standards for foreign securities , ADR's , rights and warrants.9 2. A revised interpretation of the Board of Governors concerning 9 See Part I of the report for a discussion ...
... NASDAQ quotation system ; and ( 2 ) the system's eligibility standards for foreign securities , ADR's , rights and warrants.9 2. A revised interpretation of the Board of Governors concerning 9 See Part I of the report for a discussion ...
Otras ediciones - Ver todas
Términos y frases comunes
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