Annual Report of the SEC.U.S. Government Printing Office |
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... Director ALAN B. LEVENSON , Director , Division of Corporation Finance THOMAS N. HOLLOWAY , Associate Director RALPH C. HOCKER , Associate Director SOLOMON FREEDMAN , Director , Division of Corporate Regulation AARON LEVY , Associate ...
... Director ALAN B. LEVENSON , Director , Division of Corporation Finance THOMAS N. HOLLOWAY , Associate Director RALPH C. HOCKER , Associate Director SOLOMON FREEDMAN , Director , Division of Corporate Regulation AARON LEVY , Associate ...
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... Directors and Executive Committee ) ; the New York Chamber of Commerce ; and the Accountants Club of America , Inc. He also has participated actively in many community organi- zations . Prior to assuming office on July 10 , 1969 , for ...
... Directors and Executive Committee ) ; the New York Chamber of Commerce ; and the Accountants Club of America , Inc. He also has participated actively in many community organi- zations . Prior to assuming office on July 10 , 1969 , for ...
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... Director and then Director of the Division of Trading and Exchanges . In 1963 , Commissioner Loomis was appointed General Counsel to the Commission and served in that IX A. Sydney Herlong , Jr.
... Director and then Director of the Division of Trading and Exchanges . In 1963 , Commissioner Loomis was appointed General Counsel to the Commission and served in that IX A. Sydney Herlong , Jr.
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... directors and to approval or ratification by the shareholders . An earlier House bill would have imposed on the plaintiff in a Section 36 ( b ) action the burden of proving a breach of fiduciary duty by " clear and convincing evidence ...
... directors and to approval or ratification by the shareholders . An earlier House bill would have imposed on the plaintiff in a Section 36 ( b ) action the burden of proving a breach of fiduciary duty by " clear and convincing evidence ...
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... director , member of an advisory board , investment adviser , depositor or principal underwriter or as an affiliated person of its investment adviser , depositor , or principal underwriter . The Commission may take such action if it ...
... director , member of an advisory board , investment adviser , depositor or principal underwriter or as an affiliated person of its investment adviser , depositor , or principal underwriter . The Commission may take such action if it ...
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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