Annual Report of the SEC.U.S. Government Printing Office |
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United States. Securities and Exchange Commission. FULL DISCLOSURE OF INFORMATION ABOUT THE IS- SUERS OF SECURITIES ... Stock Exchange Regulation of broker - dealers and investment advisers 91 91 Registration 92 Financial reports of ...
United States. Securities and Exchange Commission. FULL DISCLOSURE OF INFORMATION ABOUT THE IS- SUERS OF SECURITIES ... Stock Exchange Regulation of broker - dealers and investment advisers 91 91 Registration 92 Financial reports of ...
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United States. Securities and Exchange Commission. PART IX APPENDIX - STATISTICAL TABLES Table 1. Securities ... stock and bond issues admitted to trading on exchanges , and the number of issuers involved Part 2. Number of stock and bond ...
United States. Securities and Exchange Commission. PART IX APPENDIX - STATISTICAL TABLES Table 1. Securities ... stock and bond issues admitted to trading on exchanges , and the number of issuers involved Part 2. Number of stock and bond ...
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... securities industry experienced during the period from 1968 through 1970 . Large , unanticipated increases in trading volume occurred in the exchange and over - the - counter markets during the middle 1960's . Existing systems for ...
... securities industry experienced during the period from 1968 through 1970 . Large , unanticipated increases in trading volume occurred in the exchange and over - the - counter markets during the middle 1960's . Existing systems for ...
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... Exchange Act went into effect . It requires the giving of immediate notice ... stock ownership and the inventory of securities actually on hand ( or at ... Exchange Act Release No. 9268 ( July 30 , 1971 ) . securities were in " street ...
... Exchange Act went into effect . It requires the giving of immediate notice ... stock ownership and the inventory of securities actually on hand ( or at ... Exchange Act Release No. 9268 ( July 30 , 1971 ) . securities were in " street ...
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... are needed in the rules under which stock exchanges and other market institutions operate . In a statement accompanying the 5 Securities Exchange Act Release No. 9288 ( August 13 , 1971 ) . 4 SECURITIES AND EXCHANGE COMMISSION.
... are needed in the rules under which stock exchanges and other market institutions operate . In a statement accompanying the 5 Securities Exchange Act Release No. 9288 ( August 13 , 1971 ) . 4 SECURITIES AND EXCHANGE COMMISSION.
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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