Annual Report of the SEC.U.S. Government Printing Office |
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... enforcement authority Banks and insurance companies Oil and gas funds Implementation of Investment Company Act amendments Explanatory releases Adoption of rules under amended Section 27 Revision of annual report form Study of the ...
... enforcement authority Banks and insurance companies Oil and gas funds Implementation of Investment Company Act amendments Explanatory releases Adoption of rules under amended Section 27 Revision of annual report form Study of the ...
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... enforcement agencies Enforcement problems with respect to foreign securities Disqualification from practice before Commission 128 129 129 129 130 132 133 134 135 138 PART V REGULATION OF INVESTMENT COMPANIES Companies registered under ...
... enforcement agencies Enforcement problems with respect to foreign securities Disqualification from practice before Commission 128 129 129 129 130 132 133 134 135 138 PART V REGULATION OF INVESTMENT COMPANIES Companies registered under ...
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... ENFORCEMENT AUTHORITY The 1970 Act added a new subsection ( b ) to Section 9 of the Investment Company Act to provide additional grounds for dis- qualification of persons from affiliation with an investment com- pany . Formerly only ...
... ENFORCEMENT AUTHORITY The 1970 Act added a new subsection ( b ) to Section 9 of the Investment Company Act to provide additional grounds for dis- qualification of persons from affiliation with an investment com- pany . Formerly only ...
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... enforcement action would not be taken against Lockheed . The Commission instead determined that a broader inquiry should be made into the entire area of defense contracting so that specific industry- wide financial disclosure standards ...
... enforcement action would not be taken against Lockheed . The Commission instead determined that a broader inquiry should be made into the entire area of defense contracting so that specific industry- wide financial disclosure standards ...
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... ENFORCEMENT ACTION CHARGING MISUSE OF PENSION FUNDS In S.E.C. v . Victor Posner , et al . , 35 the Commission for the first time brought enforcement proceedings involving the alleged mis- use of corporate pension funds in connection ...
... ENFORCEMENT ACTION CHARGING MISUSE OF PENSION FUNDS In S.E.C. v . Victor Posner , et al . , 35 the Commission for the first time brought enforcement proceedings involving the alleged mis- use of corporate pension funds in connection ...
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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