Annual Report of the SEC.U.S. Government Printing Office |
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... common stocks listed on the New 90 York Stock Exchange Regulation of broker - dealers and investment advisers 91 91 Registration 92 Financial reports of broker - dealers Broker - dealer income and expense reports 92 Regulation of broker ...
... common stocks listed on the New 90 York Stock Exchange Regulation of broker - dealers and investment advisers 91 91 Registration 92 Financial reports of broker - dealers Broker - dealer income and expense reports 92 Regulation of broker ...
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... common stock flotations totaled $ 7.7 billion and showed a moderate increase from 1970 record high for this type of securities financing . Almost levels . New issues of preferred stock amounted to $ 3.3 billion , a THIRTY - SEVENTH ...
... common stock flotations totaled $ 7.7 billion and showed a moderate increase from 1970 record high for this type of securities financing . Almost levels . New issues of preferred stock amounted to $ 3.3 billion , a THIRTY - SEVENTH ...
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... Common stock 7,722 7,382 5,949 Total 38,201 25,975 Foreign government 1,493 495 17,282 711 Total for immediate sale 39,694 26,470 17,993 Issues offered over an extended period 18,758 21,728 34,046 Total for cash sale for account of ...
... Common stock 7,722 7,382 5,949 Total 38,201 25,975 Foreign government 1,493 495 17,282 711 Total for immediate sale 39,694 26,470 17,993 Issues offered over an extended period 18,758 21,728 34,046 Total for cash sale for account of ...
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United States. Securities and Exchange Commission. issues were common stock offerings , including investment com- pany issues , employee stock purchase plans and stock reserved for warrants and options . Registrations of extended ...
United States. Securities and Exchange Commission. issues were common stock offerings , including investment com- pany issues , employee stock purchase plans and stock reserved for warrants and options . Registrations of extended ...
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... common stock 41 Securities Exchange Act Releases Nos . 9104 ( March 10 , 1971 ) , 9111 ( March 17 , 1971 ) , 9188 ( May 26 , 1971 ) and 9193 ( May 27 , 1971 ) . and American Depositary Receipts ( ADRs ) had been halted 42 Securities ...
... common stock 41 Securities Exchange Act Releases Nos . 9104 ( March 10 , 1971 ) , 9111 ( March 17 , 1971 ) , 9188 ( May 26 , 1971 ) and 9193 ( May 27 , 1971 ) . and American Depositary Receipts ( ADRs ) had been halted 42 Securities ...
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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