Annual Report of the SEC.U.S. Government Printing Office |
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... in 1971. He took office as a member of the Securities and Exchange Com- mission on August 13 , 1971 , for the term of office expiring June 5 , 1972 . TABLE OF CONTENTS Page V Commissioners and principal staff officers X.
... in 1971. He took office as a member of the Securities and Exchange Com- mission on August 13 , 1971 , for the term of office expiring June 5 , 1972 . TABLE OF CONTENTS Page V Commissioners and principal staff officers X.
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United States. Securities and Exchange Commission. TABLE OF CONTENTS Page V Commissioners and principal staff officers Regional and branch offices Biographies of Commissioners VI VII PART I IMPORTANT RECENT DEVELOPMENTS Investor ...
United States. Securities and Exchange Commission. TABLE OF CONTENTS Page V Commissioners and principal staff officers Regional and branch offices Biographies of Commissioners VI VII PART I IMPORTANT RECENT DEVELOPMENTS Investor ...
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... facilities EDP training 212 212 Personnel and financial management 212 Personnel program 212 Personnel strength ; financial management 214 PART IX APPENDIX - STATISTICAL TABLES Table 1. Securities registrations XV Page.
... facilities EDP training 212 212 Personnel and financial management 212 Personnel program 212 Personnel strength ; financial management 214 PART IX APPENDIX - STATISTICAL TABLES Table 1. Securities registrations XV Page.
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United States. Securities and Exchange Commission. PART IX APPENDIX - STATISTICAL TABLES Table 1. Securities registrations effective under the Securities Act of 1933 - fiscal years 1935–1971 Table 2. Registrations effective under the ...
United States. Securities and Exchange Commission. PART IX APPENDIX - STATISTICAL TABLES Table 1. Securities registrations effective under the Securities Act of 1933 - fiscal years 1935–1971 Table 2. Registrations effective under the ...
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... Table 15. Summary of criminal cases developed by the Commission which were pending at June 30 , 1971 Table 16. Reorganization proceedings under Chapter X of the Bankruptcy Act in which the Commission participated during fiscal year 1971 ...
... Table 15. Summary of criminal cases developed by the Commission which were pending at June 30 , 1971 Table 16. Reorganization proceedings under Chapter X of the Bankruptcy Act in which the Commission participated during fiscal year 1971 ...
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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