Annual Report of the SEC.U.S. Government Printing Office |
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... broker - dealers Broker - dealer income and expense reports 92 Regulation of broker - dealers who are not members of a registered securities association 93 95 Statistical studies Issues registered under the Securities Act of 1933 95 New ...
... broker - dealers Broker - dealer income and expense reports 92 Regulation of broker - dealers who are not members of a registered securities association 93 95 Statistical studies Issues registered under the Securities Act of 1933 95 New ...
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United States. Securities and Exchange Commission. broker - dealers . Proposed Rule 15c3-4 , concerned with customer protection in the area of custody and use of customers ' securities , requires that the broker - dealer promptly obtain ...
United States. Securities and Exchange Commission. broker - dealers . Proposed Rule 15c3-4 , concerned with customer protection in the area of custody and use of customers ' securities , requires that the broker - dealer promptly obtain ...
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... brokers and dealers and limits the 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 ...
... brokers and dealers and limits the 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 ...
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... broker - dealers who are not Exchange members . In accordance with the Commission's announcement on August 31 , 1970 , a temporary commission rate surcharge was ... SECURITIES AND EXCHANGE COMMISSION Public ownership of broker-dealers.
... broker - dealers who are not Exchange members . In accordance with the Commission's announcement on August 31 , 1970 , a temporary commission rate surcharge was ... SECURITIES AND EXCHANGE COMMISSION Public ownership of broker-dealers.
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... brokers or dealers from submitting or publishing quotations respecting a security in the absence of publicly available information concerning the issuer and the security . In general , the rule prohibits a broker or dealer from ...
... brokers or dealers from submitting or publishing quotations respecting a security in the absence of publicly available information concerning the issuer and the security . In general , the rule prohibits a broker or dealer from ...
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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