Annual Report of the SEC.U.S. Government Printing Office |
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Página 3
... addition to acting to protect customers ' funds and securities on deposit with brokers , the Commission has taken steps to im- prove procedures for detecting and monitoring financial and op- erational problems at firms . On September 15 ...
... addition to acting to protect customers ' funds and securities on deposit with brokers , the Commission has taken steps to im- prove procedures for detecting and monitoring financial and op- erational problems at firms . On September 15 ...
Página 7
... addition to the above requirements , if the member participated in the distribution of its own securities or those of an affiliate , it would have to obtain two independent underwriters with at least 5 years experience in the ...
... addition to the above requirements , if the member participated in the distribution of its own securities or those of an affiliate , it would have to obtain two independent underwriters with at least 5 years experience in the ...
Página 10
... addition to introductory material , contains a summary of the Background Report on Institutional Investors and Corporate Stock prepared for the Study by the National Bureau of Economic Research , a pioneer in the development of flow of ...
... addition to introductory material , contains a summary of the Background Report on Institutional Investors and Corporate Stock prepared for the Study by the National Bureau of Economic Research , a pioneer in the development of flow of ...
Página 11
... addition , the Commission suggested that where incentive or performance fees are utilized , penalties should be structured for sub - standard investment performance , as is currently the case for registered investment companies . The ...
... addition , the Commission suggested that where incentive or performance fees are utilized , penalties should be structured for sub - standard investment performance , as is currently the case for registered investment companies . The ...
Página 17
... addition , the portfolio fund is not obligated to redeem its securities held by the holding com- pany in an amount exceeding one percent of its outstanding securities in any period of less than 30 days . PERFORMANCE FEE ADVISORY ...
... addition , the portfolio fund is not obligated to redeem its securities held by the holding com- pany in an amount exceeding one percent of its outstanding securities in any period of less than 30 days . PERFORMANCE FEE ADVISORY ...
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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