Annual Report of the SEC.U.S. Government Printing Office |
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... assets 141 142 145 Investment company filings , other than applications Developments with respect to particular types of investment companies 145 145 Investment company sponsored by a public accounting firm . Minority enterprise small ...
... assets 141 142 145 Investment company filings , other than applications Developments with respect to particular types of investment companies 145 145 Investment company sponsored by a public accounting firm . Minority enterprise small ...
Página 47
... assets exceeding $ 1 million and a class of equity securities held of record by 500 or more persons to register those securities with the Commission , unless one of the exemptions set forth in that section is available , or the ...
... assets exceeding $ 1 million and a class of equity securities held of record by 500 or more persons to register those securities with the Commission , unless one of the exemptions set forth in that section is available , or the ...
Página 48
... assets of the issuer , or otherwise , the exemption is not inconsistent with the public interest or the protection of investors . At the beginning of the fiscal year 9 applications for exemption orders were pending and 6 applications ...
... assets of the issuer , or otherwise , the exemption is not inconsistent with the public interest or the protection of investors . At the beginning of the fiscal year 9 applications for exemption orders were pending and 6 applications ...
Página 49
... assets , the institution or termination of important legal proceedings and important changes in the issuer's securities . Certain real estate companies are re- quired to file quarterly reports on Form 7 - Q , which replaced Form 7 - K ...
... assets , the institution or termination of important legal proceedings and important changes in the issuer's securities . Certain real estate companies are re- quired to file quarterly reports on Form 7 - Q , which replaced Form 7 - K ...
Página 51
... assets . Major reflected $ 3,152,170 as income derived from this trans- action and the note of $ 3,475,000 as an asset in its 1968 annual report on Form 10 - K . The Commission found that Major improperly treated the land transaction as ...
... assets . Major reflected $ 3,152,170 as income derived from this trans- action and the note of $ 3,475,000 as an asset in its 1968 annual report on Form 10 - K . The Commission found that Major improperly treated the land transaction as ...
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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