Annual Report of the SEC.U.S. Government Printing Office |
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Página 3
... capital rule or whose books and records are not being maintained in a current manner . Where a firm's financial condition is deteriorating , although it is not in violation of a net capital rule , it must file detailed financial and ...
... capital rule or whose books and records are not being maintained in a current manner . Where a firm's financial condition is deteriorating , although it is not in violation of a net capital rule , it must file detailed financial and ...
Página 4
... capital rule " , imposes minimum net capital requirements on 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 ...
... capital rule " , imposes minimum net capital requirements on 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 ...
Página 7
... capital ratio , as computed under Rule 15c3-1 , would not exceed 10 : 1 at the termination of the offering . Additionally , a member would be prohibited from making a subsequent public offering for at least one year and would be ...
... capital ratio , as computed under Rule 15c3-1 , would not exceed 10 : 1 at the termination of the offering . Additionally , a member would be prohibited from making a subsequent public offering for at least one year and would be ...
Página 12
... capital and are thus of particular economic significance . In order to alleviate some of the problems that are associated with restricted securities , the Commission stated its view that the principles for valuing such securities at ...
... capital and are thus of particular economic significance . In order to alleviate some of the problems that are associated with restricted securities , the Commission stated its view that the principles for valuing such securities at ...
Página 27
... capital through the public offering of their securities and those companies whose securities are already publicly held , so as to enable investors to evaluate the securities of these companies on an informed and realistic basis . To ...
... capital through the public offering of their securities and those companies whose securities are already publicly held , so as to enable investors to evaluate the securities of these companies on an informed and realistic basis . To ...
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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