Annual Report of the SEC.U.S. Government Printing Office |
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Página 8
... adopted Rule 15c2-11 under the Exchange Act.14 With certain exceptions , the rule prohibits brokers or dealers from submitting or publishing quotations respecting a security in the absence of publicly available information concerning ...
... adopted Rule 15c2-11 under the Exchange Act.14 With certain exceptions , the rule prohibits brokers or dealers from submitting or publishing quotations respecting a security in the absence of publicly available information concerning ...
Página 12
... adopted , result in a reduction in the cost to issuers of obtaining financing through the sale of restricted securities since the price of such securities when privately placed is usually substantially lower than the market price of ...
... adopted , result in a reduction in the cost to issuers of obtaining financing through the sale of restricted securities since the price of such securities when privately placed is usually substantially lower than the market price of ...
Página 14
... adopted , which specifies merely that the plaintiff has the burden of proving such breach . The Report of the Senate ... adoption 14 SECURITIES AND EXCHANGE COMMISSION Sales charges Investment advisory fees.
... adopted , which specifies merely that the plaintiff has the burden of proving such breach . The Report of the Senate ... adoption 14 SECURITIES AND EXCHANGE COMMISSION Sales charges Investment advisory fees.
Página 15
... adopted rules under amended Section 22 ( b ) , the Com- mission may alter or supplement the rules of the NASD . The NASD is presently engaged in a study of sales loads to provide a basis for the adoption of appropriate rules . THE FRONT ...
... adopted rules under amended Section 22 ( b ) , the Com- mission may alter or supplement the rules of the NASD . The NASD is presently engaged in a study of sales loads to provide a basis for the adoption of appropriate rules . THE FRONT ...
Página 16
... than 3 percent 20 Rules adopted by the Commission to implement these provisions are of the outstanding stock of any one investment company is discussed at p . 20 , infra . 16 SECURITIES AND EXCHANGE COMMISSION Fund holding companies.
... than 3 percent 20 Rules adopted by the Commission to implement these provisions are of the outstanding stock of any one investment company is discussed at p . 20 , infra . 16 SECURITIES AND EXCHANGE COMMISSION Fund holding companies.
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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