Annual Report of the SEC.U.S. Government Printing Office |
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... Distribution by months Part 2. Purpose of registration and type of security Table 3. Brokers and dealers registered ... distributions of stocks reported by exchanges Table 9. Unlisted stocks on exchanges Part 1. Number of stocks on the ...
... Distribution by months Part 2. Purpose of registration and type of security Table 3. Brokers and dealers registered ... distributions of stocks reported by exchanges Table 9. Unlisted stocks on exchanges Part 1. Number of stocks on the ...
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... distributions of their own securities and published proposed regulations and procedures to govern such distributions ... distribution of its own securities or those of an affiliate , it would have to obtain two independent underwriters ...
... distributions of their own securities and published proposed regulations and procedures to govern such distributions ... distribution of its own securities or those of an affiliate , it would have to obtain two independent underwriters ...
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... distribution . If adequate and accurate disclosure is made , it cannot deny registration . The Act makes it unlawful to represent to investors that the Commission has approved or otherwise passed on the merits of registered securities ...
... distribution . If adequate and accurate disclosure is made , it cannot deny registration . The Act makes it unlawful to represent to investors that the Commission has approved or otherwise passed on the merits of registered securities ...
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... distribution as an underwriter or selling group member . Publishing such informa- tion may result in a violation of Section 5 of the Act . The purpose of the rules is to provide guidance to broker - dealers and to al- leviate such ...
... distribution as an underwriter or selling group member . Publishing such informa- tion may result in a violation of Section 5 of the Act . The purpose of the rules is to provide guidance to broker - dealers and to al- leviate such ...
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... distributions and securities registered for other than cash sale , such as issues exchanged for other securities and securi- ties reserved for conversion . Of the dollar amount of 36 SECURITIES AND EXCHANGE COMMISSION.
... distributions and securities registered for other than cash sale , such as issues exchanged for other securities and securi- ties reserved for conversion . Of the dollar amount of 36 SECURITIES AND EXCHANGE COMMISSION.
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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