Annual Report of the SEC.U.S. Government Printing Office |
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... Securities Act of 1933 - fiscal years 1935–1971 Table 2. Registrations effective under the Securities Act of 1933 , fiscal year ended June 30 , 1971 Part 1. Distribution by months Part 2. Purpose of registration and type of security ...
... Securities Act of 1933 - fiscal years 1935–1971 Table 2. Registrations effective under the Securities Act of 1933 , fiscal year ended June 30 , 1971 Part 1. Distribution by months Part 2. Purpose of registration and type of security ...
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... SECURITIES QUOTATIONS WITHOUT SPECIFIED INFORMATION The Commission has ... Act.14 With certain exceptions , the rule prohibits brokers or dealers from ... securities laws and the broker or dealer has no reason to believe that such ...
... SECURITIES QUOTATIONS WITHOUT SPECIFIED INFORMATION The Commission has ... Act.14 With certain exceptions , the rule prohibits brokers or dealers from ... securities laws and the broker or dealer has no reason to believe that such ...
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... Securities Act , Securities Ex- change Act , Investment Company Act , or Investment Advisers Act , or any rule or regulation thereunder , or has willfully made or caused to be made a materially false or misleading statement in any ...
... Securities Act , Securities Ex- change Act , Investment Company Act , or Investment Advisers Act , or any rule or regulation thereunder , or has willfully made or caused to be made a materially false or misleading statement in any ...
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United States. Securities and Exchange Commission. has held the securities at ... Act of 1934 and has filed all reports due within the past 90 days . Under a ... securities must be sold in " brokers ' transactions " within the meaning of ...
United States. Securities and Exchange Commission. has held the securities at ... Act of 1934 and has filed all reports due within the past 90 days . Under a ... securities must be sold in " brokers ' transactions " within the meaning of ...
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... securities up to one percent of the amount of the class outstanding or $ 50,000 , whichever is less , during any twelve - month period , reduced by the amount of any other sales pursuant to an exemption under Section 3 ( b ) of the Act ...
... securities up to one percent of the amount of the class outstanding or $ 50,000 , whichever is less , during any twelve - month period , reduced by the amount of any other sales pursuant to an exemption under Section 3 ( b ) of the Act ...
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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