Annual Report of the SEC.U.S. Government Printing Office |
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Página 22
... filed with the Commission at least 10 days prior to the sale . If the securities are not sold within 90 days after the notice is filed , an amended notice must be filed before any further sales are made . In a related action , the ...
... filed with the Commission at least 10 days prior to the sale . If the securities are not sold within 90 days after the notice is filed , an amended notice must be filed before any further sales are made . In a related action , the ...
Página 31
... filed with it and furnished to the investing public more understandable to the average in- vestor . Nevertheless , many prospectuses are still lengthy and com- plex . While they may be accurate and complete and useful for financial ...
... filed with it and furnished to the investing public more understandable to the average in- vestor . Nevertheless , many prospectuses are still lengthy and com- plex . While they may be accurate and complete and useful for financial ...
Página 32
... filed with the Commission are ex- amined by its staff for compliance with the standards of adequate and accurate disclosure . This examination is primarily the re- sponsibility of the Division of Corporation Finance.13 Generally 12 ...
... filed with the Commission are ex- amined by its staff for compliance with the standards of adequate and accurate disclosure . This examination is primarily the re- sponsibility of the Division of Corporation Finance.13 Generally 12 ...
Página 33
... filed ( or on the 20th day after the filing of any amendment thereto ) . Since most registration state- ments require one or more amendments , they usually do not become effective until some time after the original 20 - day period . The ...
... filed ( or on the 20th day after the filing of any amendment thereto ) . Since most registration state- ments require one or more amendments , they usually do not become effective until some time after the original 20 - day period . The ...
Página 34
... filed by investment companies pursuant to Section 24 ( e ) of the Investment Company Act of 1940 . STATISTICS REGARDING REGISTRATION STATEMENTS FILED During the 1971 fiscal year , 3,404 registration statements were filed for offerings ...
... filed by investment companies pursuant to Section 24 ( e ) of the Investment Company Act of 1940 . STATISTICS REGARDING REGISTRATION STATEMENTS FILED During the 1971 fiscal year , 3,404 registration statements were filed for offerings ...
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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