Annual Report of the SEC.U.S. Government Printing Office |
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... Office of Policy Research LEONARD HELFENSTEIN , Director , Office of Opinions and Review W. VICTOR RODIN , Associate ... OFFICES Regional Offices and Regional Administrators Region.
... Office of Policy Research LEONARD HELFENSTEIN , Director , Office of Opinions and Review W. VICTOR RODIN , Associate ... OFFICES Regional Offices and Regional Administrators Region.
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United States. Securities and Exchange Commission. REGIONAL AND BRANCH OFFICES Regional Offices and Regional ... Office Bldg . , 1240 E. 9th at Lakeside . Detroit , Michigan 48226. - 1044 Federal Bldg . Houston , Texas 77022 ...
United States. Securities and Exchange Commission. REGIONAL AND BRANCH OFFICES Regional Offices and Regional ... Office Bldg . , 1240 E. 9th at Lakeside . Detroit , Michigan 48226. - 1044 Federal Bldg . Houston , Texas 77022 ...
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... offices Biographies of Commissioners VI VII PART I IMPORTANT RECENT DEVELOPMENTS Investor protection ; market structure Structure and level of commission rates Public ownership of broker - dealers Securities quotations without specified ...
... offices Biographies of Commissioners VI VII PART I IMPORTANT RECENT DEVELOPMENTS Investor protection ; market structure Structure and level of commission rates Public ownership of broker - dealers Securities quotations without specified ...
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... offices , sizeable differences sprang up between records reflecting stock ownership and the inventory of securities actually on hand ( or at identifiable outside locations , such as transfer agents ) . Some firms had substantial amounts ...
... offices , sizeable differences sprang up between records reflecting stock ownership and the inventory of securities actually on hand ( or at identifiable outside locations , such as transfer agents ) . Some firms had substantial amounts ...
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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