Annual Report of the SEC.U.S. Government Printing Office |
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... action by self - regulatory organizations Commission review of NASD disciplinary action Commission review of NASD action on membership Cooperation with other enforcement agencies Enforcement problems with respect to foreign securities ...
... action by self - regulatory organizations Commission review of NASD disciplinary action Commission review of NASD action on membership Cooperation with other enforcement agencies Enforcement problems with respect to foreign securities ...
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... action . REFORM OF THE INVESTMENT COMPANY ACT Efforts to obtain much - needed reform of the Investment Com- pany Act of 1940 were finally brought to a successful conclusion on December 14 , 1970 when the Investment Company Amend- ments ...
... action . REFORM OF THE INVESTMENT COMPANY ACT Efforts to obtain much - needed reform of the Investment Com- pany Act of 1940 were finally brought to a successful conclusion on December 14 , 1970 when the Investment Company Amend- ments ...
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... action the burden of proving a breach of fiduciary duty by " clear and convincing evidence . " The House and Senate conferees rejected this standard of proof , which the Commission urged was inappropriate in a civil action , in favor of ...
... action the burden of proving a breach of fiduciary duty by " clear and convincing evidence . " The House and Senate conferees rejected this standard of proof , which the Commission urged was inappropriate in a civil action , in favor of ...
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... action if it finds ( 1 ) that such person has willfully violated , or willfully aided and abetted violations by another , of any provision of the Securities Act , Securities Ex- change Act , Investment Company Act , or Investment ...
... action if it finds ( 1 ) that such person has willfully violated , or willfully aided and abetted violations by another , of any provision of the Securities Act , Securities Ex- change Act , Investment Company Act , or Investment ...
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... ACTION CHARGING MISUSE OF PENSION FUNDS In S.E.C. v . Victor Posner , et al . , 35 the Commission for the first time brought enforcement proceedings involving the alleged mis- use of corporate pension funds in connection with the ...
... ACTION CHARGING MISUSE OF PENSION FUNDS In S.E.C. v . Victor Posner , et al . , 35 the Commission for the first time brought enforcement proceedings involving the alleged mis- use of corporate pension funds in connection with the ...
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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