Annual Report of the SEC.U.S. Government Printing Office |
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Página 4
... amount of indebtedness which may be incurred by a broker - dealer by pro- viding that a broker - dealer's " aggregate indebtedness " ( as defined in the rule ) may not exceed 20 times the amount of its " net capital " ( as computed ...
... amount of indebtedness which may be incurred by a broker - dealer by pro- viding that a broker - dealer's " aggregate indebtedness " ( as defined in the rule ) may not exceed 20 times the amount of its " net capital " ( as computed ...
Página 14
... amount of compensation or payments re- ceived . Section 36 ( b ) further provides that the court is to give such consideration as it deems appropriate to approval of the compensation or payments in question by the board of directors and ...
... amount of compensation or payments re- ceived . Section 36 ( b ) further provides that the court is to give such consideration as it deems appropriate to approval of the compensation or payments in question by the board of directors and ...
Página 17
... amount exceeding one percent of its outstanding securities in any period of less than 30 days . PERFORMANCE FEE ADVISORY CONTRACTS The 1970 Act , in accordance with the Commission's recommen- dation , amended the Investment Advisers Act ...
... amount exceeding one percent of its outstanding securities in any period of less than 30 days . PERFORMANCE FEE ADVISORY CONTRACTS The 1970 Act , in accordance with the Commission's recommen- dation , amended the Investment Advisers Act ...
Página 23
... amount of any other sales pursuant to an exemption under Section 3 ( b ) of the Act or Rule 144 during the period ... amounts under that Regulation without having such offerings counted against the $ 500,000 maximum available to the ...
... amount of any other sales pursuant to an exemption under Section 3 ( b ) of the Act or Rule 144 during the period ... amounts under that Regulation without having such offerings counted against the $ 500,000 maximum available to the ...
Página 34
... amount involved . Of the 3,404 registration statements filed in the 1971 fiscal year , 997 , or 29 percent , were filed by companies that had not previously filed registration statements under the Securities Act . Comparable figures for ...
... amount involved . Of the 3,404 registration statements filed in the 1971 fiscal year , 997 , or 29 percent , were filed by companies that had not previously filed registration statements under the Securities Act . Comparable figures for ...
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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